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Monitoring and compliance reports

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Found 33 results. Displaying page 1 of 2

    22 March 2018

    Life insurance replacement business

    160629 Replacing life insurance - who benefits? This is our first report into the sales practices within the life insurance industry. The report is the result of a review of four years of data, to determine whether insurance churn exists in the New Zealand market and, if it does, whether it harms consumers. Related documents Related documents Factors influencing in...

    https://fma.govt.nz/news-and-resources/reports-and-papers/monitoring-and-compliance-reports/life-insurance-replacement-business/

    20 February 2018

    Conduct Outcomes Report

    2017 Conduct Outcomes Report The Conduct Outcomes Report outlines how we responded to the areas of misconduct we saw during 2017. It covers our enforcement action, monitoring and supervision work, and our activities to address risks and harms on our regulatory perimeter. It also includes good practice suggestions for licensed financial service providers, and sets out where we will focus our energies in 2018...

    https://fma.govt.nz/news-and-resources/reports-and-papers/monitoring-and-compliance-reports/conduct-outcomes-report/

    29 November 2017

    Key Audit Matters - A stock take of the first year in New Zealand

    Key Audit Matters - A stock take of the first year in New ZealandThis report provides a stock take of the New Zealand experience in the first year of adopting the revised auditor’s report, specifically focussing on the reporting of key audit matters (KAMs).We analysed the new style auditors’ reports issued in New Zealand. We also conducted interviews and online surveys with investors, analysts, auditors, directors and management. We hope this publica...

    https://fma.govt.nz/news-and-resources/reports-and-papers/monitoring-and-compliance-reports/key-audit-matters-a-stock-take-of-the-first-year-in-new-zealand/

    27 November 2017

    Peer-to-peer and crowdfunding: sector snapshot

    INTERACTIVE: Peer-to-peer lending and crowdfunding: sector snapshotThis report is a 'snapshot' of peer-to-peer lending (P2P) and crowdfunding activity in New Zealand for the year ended 30 June 2017.It is based on data given to us by the licensed providers of these services in their annual regulatory returns. These returns are a standard requirement for licensees. They give us up-to-date information that helps us understand the businesses we regulate and...

    https://fma.govt.nz/news-and-resources/reports-and-papers/monitoring-and-compliance-reports/peer-to-peer-and-crowdfunding-sector-snapshot/

    23 June 2017

    Auditor regulation and oversight plan

    FMA has an obligation to publish an Auditor Regulation and Oversight plan by 30 June each year, for a three year period, setting out our intentions for the regulation and oversight of auditors under the Act. This plan will help licensed auditors, registered audit firms and accredited bodies to understand how FMA will approach auditor regulation. It may also be of interest to issuers, investors and their advisers.

    https://fma.govt.nz/news-and-resources/reports-and-papers/monitoring-and-compliance-reports/auditor-regulation-and-oversight-plan/

    8 December 2016

    AML/CFT Monitoring Report

    AML/CFT 2016 Annual Monitoring Report This report summarises our monitoring activities to help firms and individuals better understand our expectations and how they can improve their systems and processes, to comply with the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (the Act). This report covers the period from 1 July 2015 to 30 June 2016. It was our third year of monitoring compliance with the Act....

    https://fma.govt.nz/news-and-resources/reports-and-papers/monitoring-and-compliance-reports/amlcft-monitoring-report/

    12 September 2014

    Authorised Financial Advisers (AFA) Monitoring Report

    140912 AFAs monitoring report 1 January – 30 June 2014 Related documents 140330 AFAs monitoring report Jul -Dec 2013 130930 AFAs monitoring report thematic review nzx adviser april-june 2013 130601 AFAs Monitoring Report-Thematic Review: DIMS January-March 2013 130301 AFAs monitoring report oct-dec 2012 121001 AFAs-monitoring-report-july-sept...

    https://fma.govt.nz/news-and-resources/reports-and-papers/monitoring-and-compliance-reports/authorised-financial-advisers-afa-monitoring-report/

    3 July 2014

    Review of non-filing of financial statements

    The non-filing of financial statements by some financial markets participants is a persistent problem and has prompted FMA to undertake a review of issuers’ compliance with their financial reporting obligations. The purpose of this report is to: remind directors of their statutory financial reporting obligations under the Financial Reporting Act 1993 (FRA) remind brokers and directors of the statutory filing obligations under the Securities Act (Contributory Mortgage) Regulations 1988 infor...

    https://fma.govt.nz/news-and-resources/reports-and-papers/monitoring-and-compliance-reports/review-of-non-filing-of-financial-statements/