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  1. 1 June 2012

    Auditor regulation and oversight plan 2012 2015

    Audits of FMC reporting entities’ financial statements are designed to increase investor confidence. One of the ways
    we ensure these audits are done well is by reviewing audits at registered audit firms. This plan is for the 2012-2015 period
    Tags
    Regulation, Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  4. 4 April 2017

    Point of retirement research 2017

    In December 2016 FMA commissioned Colmar Brunton to carry out research among people who are nearing retirement age, or who have recently retired. This research is designed to help FMA learn more about the financial decisions that people make when they retire.
    Tags
    Reports and Papers, Investor capability, FMA, News & Insights
    Type
    PDF

  7. 18 November 2019

    Audit investor guide 2019

    Companies listed on the share market must have their financial statements independently audited, and present a report from the auditor to investors in their annual report. This guide informs investors of the obligations imposed by the FMA on auditing of their financials.
    Tags
    Obligations, Auditors, Roles, Business
    Type
    PDF, Information Sheet

  8. 30 July 2014

    Expense disclosure CE gifts 2014 jan jun

    CE gifts and benefits disclosure for the period 1 January 2014 - 30 June 2014
    Tags
    Chief Executive Gifts and Benefits Disclosure, FMA
    Type
    PDF

  9. 30 June 2019

    NZX Obligations Review 2019

    Under the FMC Act, we are required to review at least annually how well a licensed market operator is meeting its obligations, and to publish a written report. Broadly, these relate to the areas of operation that are regulatory in nature. Publishing the report provides transparency into our oversight of NZX. This report was published in 2019.
    Tags
    Market operator, Roles, Reports and Papers, Business, News & Insights
    Type
    Paper, PDF

  11. 4 December 2020

    Auditor Regulation Act Notice 2020

    This notice is the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2020.
    Tags
    Auditors, Standard conditions, Roles, Licensing & registration, Business
    Type
    PDF, Notice

  12. 18 December 2020

    NZICA accredited body report 2020

    This report contains the findings of our monitoring assessment of the New Zealand Institute of Chartered Accountants
    (NZICA) for the period 1 July 2019 to 30 June 2020.
    Tags
    Monitoring, Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  13. 1 October 2011

    KiwiSaver Report 2011

    The report details the principal matters transacted under the Act during the year ended 30 June 2011, and contains the sixth annual summary of the statistical returns, required to be lodged by KiwiSaver schemes under section 125 of the Act.
    Tags
    Monitoring, Reports and Papers, KiwiSaver providers, Supervisor, Managed investment schemes, Roles, Business, News & Insights
    Type
    PDF

  14. 1 December 2019

    NZICA accredited body report 2019

    This report contains the findings of our monitoring assessment of the New Zealand Institute of Chartered Accountants
    (NZICA) for the period 1 July 2018 to 30 June 2019.
    Tags
    Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF