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  1. 1 September 2014

    Investigations and Enforcement Report 2014

    Key issues and themes arising from investigations and enforcement activities as reported by the FMA.
    Tags
    Reports and Papers, FMA, News & Insights, Enforcement
    Type
    PDF

  4. 6 May 2020

    FMA XRB Enhanced auditor reporting 2020

    Enhanced auditor reporting is a joint FMA and XRB report that looks at the evolution of trends in key audit matter reporting in the three years since the revised auditor’s report was introduced. Key audit matters are issues that, in the auditor’s view, were of most significance to the audit of a company’s financial statements – for example, a company’s valuation of goodwill or its revenue recognition. KAMs are intended to provide transparency and give users of the financial statements a better understanding of how the audit was conducted and complexities that arose. This is the 2020 report.
    Tags
    Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  6. 9 December 2020

    Overseas research reports 2020

    Research reports produced by overseas firms may be distributed by New Zealand advice firms to their retail clients. This information sheet discusses how this will be regulated under the Financial Markets Conduct Act 2013 from 15 March 2021.
    Tags
    Reports and Papers, Authorised body under a FAP, Client money or property services provider, Crowdfunding providers, Cryptocurrencies, Directors, Financial Advice Provider, Financial Adviser, Roles, Business, News & Insights
    Type
    PDF

  7. 29 March 2021

    Expense Disclosure CE Dec 2020

    CE Gifts and benefits disclosure for the period 1 July 2020 - 31 December 2020.
    Tags
    Chief Executive Gifts and Benefits Disclosure, FMA
    Type
    PDF

  8. 1 December 2014

    NZX Financial Product Market Licence 2014

    New Zealand Financial Product Market Licence (NZX
    Limited) 2014
    Tags
    Market operator, Roles, Licence, Licensing & registration, Business
    Type
    PDF

  9. 16 June 2021

    KiwiSaver switching behaviour 150621

    The aim of this research was to identify how any switches and other transactions took place between Febuary and April 2020 at the height of the market volatility associated with COVID-19
    Tags
    Reports and Papers, KiwiSaver providers, Supervisor, Managed investment schemes, Roles, COVID-19, Business, News & Insights
    Type
    PDF

  10. 24 August 2022

    FMA Annual Corporate Plan 2022-2023

    Our Annual Corporate Plan 2022-2023 provides details of the FMA’s priority outcomes and intended programme of work for the financial year.
    Tags
    Type
    PDF, Corporate publications, Annual corporate plan

  11. 28 June 2017

    Statement of Intent 2017

    Our SOI has a four-year outlook and follows the SRO by identifying the performance measures we will use to mark our progress towards achieving our regulatory objectives. This is our 2017 report.
    Tags
    Type
    PDF, Statement of intent, Corporate publications

  12. 30 November 2017

    Audit Quality Monitoring report 2017

    Our quality reviews help improve audit quality standards and ensure audit opinions are reliable. These reviews also help us to achieve our strategic goal of ensuring that investors have access to resources that help them make better informed financial decisions. This report summarises our findings from the quality reviews we carried out between 1 July 2016 and 30 June 2017.
    Tags
    Monitoring, Reports and Papers, Business, News & Insights
    Type
    PDF