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  1. 30 June 2015

    Disclosure of fees paid to auditors by listed issuers

    In our report, we advised market participants that we would continue to monitor the disclosure of audit and non-audit fee information by issuers, and follow up with another review to assess whether the quality of disclosures have improved.
    Tags
    Auditors, Directors, Offer disclosure for equity and debt offers, Roles, Reports and Papers, Business, News & Insights
    Type
    Page, Paper

  2. 22 September 2017

    Financial Service Providers Register report

    Read about the work we’re doing to tackle misuse of the Financial Services Provider Register (FSPR) and some useful case studies that provide examples of where we’ve taken action.
    Tags
    FSPR, Roles, Reports and Papers, Financial Advice Provider, Business, News & Insights
    Type
    Page, Report

  3. 8 June 2017

    Encouraging fund choice in KiwiSaver

    This report is for KiwiSaver providers and for providers of any Managed Investment Scheme. It will also be of interest to behavioural insight researchers. This report describes the results of a behavioural insights randomised control trial.
    Tags
    Roles, Reports and Papers, KiwiSaver providers, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page, Report

  4. 15 November 2017

    Investigation into certain trading conduct of Goldman Sachs New Zealand Limited

    During our investigation into Mark Warminger, we saw trading activity by Goldman Sachs that gave cause for concern and warranted further investigation. This activity may have presented a false or misleading appearance of the price and supply of securities, which is why it came to our attention. Read more.
    Tags
    Cases, Investigations, Reports and Papers, News & Insights, Enforcement
    Type
    Page

  5. 1 September 2015

    FMA and CFFC survey of NZers aged 50 years plus

    This survey looks at older New Zealanders’ expectations for and experiences of retirement. The research was conducted among those aged 50 years and over, and includes the views of those who are nearing retirement and those who have already retired.
    Tags
    Reports and Papers, Roles, KiwiSaver providers, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page, Research

  6. 10 April 2018

    Product disclosure statements: understanding investors’ information needs

    The purpose of this report is to help issuers and their advisers think about how they can make disclosure information more useful for investors.
    Tags
    Offer disclosure for equity and debt offers, Disclose register, Roles, Cryptocurrencies, Directors, Derivative Issuer, Discretionary investment management scheme (DIMS), Offer information, Reports and Papers, Business, Managed investment schemes, News & Insights
    Type
    Page

  7. 24 May 2017

    Licensing overview report

    What we found and what you need to know to meet your licence obligations.with the FMA.
    Tags
    Reports and Papers, Client money or property services provider, Crowdfunding providers, Cryptocurrencies, Derivative Issuer, Discretionary investment management scheme (DIMS), Offer disclosure for equity and debt offers, Financial Advice Provider, Licensing & registration, Roles, Business, Managed investment schemes, News & Insights, Peer-to-peer lending service providers
    Type
    Page, Report

  9. 29 June 2016

    Replacing life insurance — who benefits?

    The FMA has previously raised concerns about the extent of replacement business in the life insurance industry. In response to these concerns, we initiated a review to determine whether insurance churn exists in the New Zealand market and, if it does, whether it harms consumers. Download the full report on this page.
    Tags
    Reports and Papers, Authorised body under a FAP, Financial Advice Provider, Financial Adviser, Roles, Insurance Providers, Financial Institutions, Business, News & Insights
    Type
    Page

  10. 23 September 2021

    Review of credit card repayment insurance products

    The FMA has conducted a review of credit card repayment insurance products to gain a better understanding of providers’ practices, and the product’s suitability for consumers. We advise anyone who has purchased this sort of insurance to read the report.
    Tags
    Financial Advice Provider, Roles, Reports and Papers, Banking, Insurance Providers, Financial Institutions, Business, News & Insights
    Type
    Page

  11. 17 December 2015

    Consultation paper: Recognition of overseas regimes – proposed exemption relief

    Consultation paper: Recognition of overseas regimes – proposed exemption relief. We are consulting on possible exemptions for overseas issuers and overseas FMC reporting entities from a range of issues.
    Tags
    Offer disclosure for equity and debt offers, Consultations, Exemptions, Roles, Business
    Type
    Page

  12. 4 March 2016

    Consultation paper: Exemptions impacting overseas businesses, and restricted schemes

    Consultation paper: Exemptions impacting overseas businesses, and restricted schemes. This consultation details our proposed exemptions to provide relief on four issues affecting overseas businesses, and trustees for restricted schemes
    Tags
    Client money or property services provider, Independent trustee, Consultations, Exemptions, Roles, Business
    Type
    Page

  13. 7 August 2017

    Consultation paper: Proposed exemption from the market index requirement

    Consultation paper: Proposed exemption from the market index requirement. he exemption applies to the manager of a fund that invests, in whole or in part, in assets that do not have an appropriate market index. Read more.
    Tags
    Consultations, Roles, Business, Market operator
    Type
    Page

  14. 1 December 2013

    Identity Verification Code of Practice

    Identity Verification Code of Practice provides a suggested best practice for all reporting entities conducting name and date of birth identity verification on customers (that are natural persons) they have assessed to be low to medium risk.

    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance

  15. 17 November 2015

    FMA issues sales and advice monitoring report

    FMA published its first monitoring report on practices in sales and advice within New Zealand’s financial services sector.
    Tags
    Offer information, Governance, FMC Act, Fair dealing, Financial advice, Legislation, Media release, Business, Consumer, FMA, News & Insights
    Type
    Page