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  1. 29 June 2017

    NZX Obligations Report 2017

    This report outlines our annual review of how well NZX is meeting its statutory obligations, and covers the 2016 calendar year.
    Tags
    Reports and Papers, Roles, Business, Market operator, News & Insights
    Type
    PDF

  2. 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

  3. 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

  4. 28 June 2017

    Ice Futures US review 2017

    ICE Futures U.S., Inc. (IFUS) is licensed to operate the IFUS derivatives market (the derivatives market) in New Zealand.
    We are required to report, at least once every two years
    on how well IFUS is meeting its obligations as a licensed
    market operator. This review covers the period 1 December 2014 to 31 December 2016. This is our first review of
    IFUS since it became licensed on 1 December 2014.
    Tags
    Reports and Papers, Roles, Business, Market operator, News & Insights
    Type
    PDF

  5. 1 December 2010

    Superannuation schemes report 2010

    This report was issued by the Government Actuary and presented to the House of Representatives in 2010 pursuant to
    Section 194 of the KiwiSaver Act 2006.
    Tags
    Reports and Papers, KiwiSaver providers, Roles, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    PDF

  6. 5 October 2011

    Superannuation schemes report 2011

    The FMA’s role is to actively engage with trustees of superannuation schemes to ensure that the trustees are complying with the Act. If a matter comes to our attention, we will enquire whether a superannuation scheme is operating in accordance with the Act, under our powers specified in Part 3 of the Financial Markets Authority Act 2011. This is the 2011 report.
    Tags
    Reports and Papers, KiwiSaver providers, Roles, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    PDF

  7. 19 October 2012

    Superannuation Schemes Report 2012

    This report was issued by the Government Actuary and presented to the House of Representatives in 2012 pursuant to
    Section 194 of the KiwiSaver Act 2006.
    Tags
    Reports and Papers, Roles, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    PDF, Report

  8. 27 June 2018

    Improving financial statements monitoring report

    This monitoring report summarises the findings from our thematic review to determine the extent of improvements in the presentation of financial statements in a clear, concise and effective way, and sets out some suggestions for additional improvement.
    Tags
    Reports and Papers, News & Insights
    Type
    PDF

  9. 29 June 2021

    ICE Futures US general obligations review 2021

    The US Commodity Futures Trading Commission (CFTC) is IFUS’s primary regulator. Our review therefore focuses on whether the CFTC was satisfied with IFUS’s compliance during the review period. 2019-2020 ICE Futures US general obligations review.
    Tags
    Reports and Papers, Roles, Business, Market operator, News & Insights
    Type
    PDF

  10. 2 August 2018

    FMA Annual Corporate Plan 2018-19

    This Annual Corporate Plan sets out our activities for 2019/20 that will promote our strategic priorities, address regulatory risks and harms, and deliver sector outcomes. This plan should be read alongside our Strategic Risk Outlook, which provides our medium-term view of the most significant risks to and opportunities for promoting fair, efficient and transparent financial markets.
    Tags
    Reports and Papers, FMA, News & Insights
    Type
    PDF

  11. 29 June 2021

    ICE Futures Europe general obligations review 2021

    The UK Financial Conduct Authority (FCA) is IFEU’s primary regulator. Our review therefore focuses on whether the FCA was satisfied with IFEU’s compliance during the review period. 2021 ICE Futures Europe general obligations review
    Tags
    Reports and Papers, Roles, Business, Market operator, News & Insights
    Type
    PDF

  12. 18 April 2018

    General stocktake of fund updates

    A general stocktake (or review) of fund updates to discover if there were any common themes or issues.
    Tags
    Reports and Papers, News & Insights
    Type
    PDF

  13. 4 October 2019

    KiwiSaver Annual Report 2019

    The FMA publishes a report every year based on all providers’ statutory data for the year to the end of March. It summarises our activities as a regulator relating to KiwiSaver during the reporting period.
    Tags
    Reports and Papers, KiwiSaver providers, Roles, Business, Managed investment schemes, News & Insights
    Type
    PDF

  14. 23 June 2023

    FMA publishes Climate Related Disclosure record keeping draft guidance for consultation

    The FMA has published three documents to support Climate Reporting Entities (CREs) in meeting their obligations under the new Climate Related Disclosure (CRD) reporting requirements.
    Tags
    Media release, Banking, Insurance Providers, Climate related disclosure, Financial Institutions, Managed Investment Schemes, Supervisors, Roles, Authorised body under a FAP, Business, Managed investment schemes, News & Insights
    Type
    Page

  15. 1 September 2013

    Superannuation Schemes Report 2013

    This report has been prepared in accordance with section 28 of the Act and details the principal matters transacted under the Act for the year ended 30 June 2013.
    This report is solely in respect of registered superannuation schemes and does not include any KiwiSaver scheme data. There is a separate report prepared for KiwiSaver schemes in respect of the year ended 30 June 2013.
    Tags
    Reports and Papers, Roles, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    PDF, Report