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  2. 15 August 2016

    FMA legislative notices supporting the FMC Act regime - August 2016

    Read our latest Regulatory update on our legislative notices work to support businesses implementing the FMC Act. This consolidates information to 15 August 2016 to give a picture of our progress and plans.
    Tags
    Regulation updates, Business
    Type
    Page

  3. 12 December 2016

    FMA legislative notices supporting the FMC Act regime up to 9 December 2016

    30 November 2016 marked the end of the transitional period the industry was required to move to operating under the FMC Act 2013 regime. Since 1 December 2016, businesses could no longer operate under the Securities Act or Securities Markets Act.
    Tags
    Regulation updates, Business
    Type
    Page

  8. 22 October 2020

    16th Annual Financial Markets Law Conference

    Liam Mason, director of regulation for the Financial Markets Authority, gave an address to the 16th Annual Financial Markets Law Conference in October, 2020.
    Tags
    Speeches and presentations , News & Insights
    Type
    PPT

  9. 12 December 2016

    CPA accredited body report 2016

    The Auditor Regulation Act 2011 (the Act) requires us to monitor and ensure the audit regulatory systems and
    processes used by accredited bodies are adequate and effective.
    This report contains the findings of our monitoring assessment of CPA Australia for the period 1 July 2015 to 30 June 2016.
    Tags
    Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  10. 12 December 2016

    NZICA accredited body report 2016

    The Auditor Regulation Act 2011 (the Act) requires us to monitor and ensure the audit regulatory systems and
    processes used by accredited bodies are adequate and effective.
    This report contains the findings of our monitoring assessment of the New Zealand Institute of Chartered Accountants (NZICA) for the period 1 July 2015 to 30 June 2016.
    Tags
    Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  11. 30 November 2016

    Audit Quality Monitoring report 2016

    Our quality reviews of audit firms help improve audit quality standards and ensure that audit opinions are reliable. These reviews also help us achieve our strategic goal of ensuring that investors have access to resources which help them make better informed financial decisions. In this year’s report, we also draw attention to our expectations of directors and auditors of financial statements and the key focus areas which our stakeholders need to be aware of.
    Tags
    Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  12. 13 December 2016

    ASX 24 review 2016

    Australian Securities Exchange Limited (ASX 24) is licensed to operate the ASX 24 derivatives market (derivatives
    market) in New Zealand. We are required to report at least once every two years on how well ASX 24 is meeting its licensed market operator obligations. This review period covers 1 July 2014 to 30 June 2016. This is our first review of ASX 24 since its licence came into effect on 1 December 2014.
    Tags
    Reports and Papers, Roles, Business, Market operator, News & Insights
    Type
    PDF

  13. 20 February 2017

    Conduct Outcomes Report 2016

    This report highlights the key issues and actions from our enforcement, supervision and preventative activities in the period 1 July 2015 to 30 June 2016.
    Tags
    Reports and Papers, Business, News & Insights
    Type
    PDF

  14. 5 July 2016

    Kiwisaver Statements survey results 2016

    In May 2016, Colmar Brunton carried out research for the FMA among the general public to understand how KiwiSaver statements are perceived and how people use them.
    Tags
    Reports and Papers, KiwiSaver providers, Roles, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    PDF, Research

  15. 4 August 2016

    Review of corporate goverance disclosure 2016

    This 2016 report presents our review of corporate governance reporting. We are sharing these findings with companies so
    they can reflect on their governance practices and disclosures.
    Tags
    Directors, Reports and Papers, Roles, Business, News & Insights
    Type
    PDF