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Found 5481 results. Displaying page 260 of 366

1 July 2020

Derivatives Issuer Sector Risk Assessment

This sector risk assessment summarises the key risks posed by licensed Derivatives Issuers (DIs) to the FMA’s objective of promoting fair, efficient and transparent financial markets. It is based on a self-assessment completed by DIs, as well as our interactions with DIs and their clients since FMC Act licensing began.

Tags

Reports and Papers, Derivative Issuer, Roles, Business, News & Insights

Type

PDF
28 August 2019

Impact of behavioural insights on KiwiSaver enrolment communications

This report is for KiwiSaver providers and
providers of any Managed Investment Scheme.
It will also be of interest to behavioural insight researchers.

Tags

Reports and Papers, KiwiSaver providers, Roles, Business, Managed investment schemes, News & Insights

Type

PDF, Research
27 February 2019

Using behavioural insights to improve KiwiSaver outcomes

The New Zealand Government has a high-level policy intent to encourage long-term savings in order to increase wellbeing and financial independence. To contribute toward this we are running a series of trials to test whether insights from behavioural economics can improve decision-making and outcomes for KiwiSaver members. This report provides results from our second trial with ANZ.

Tags

Reports and Papers, KiwiSaver providers, Roles, Business, Managed investment schemes, News & Insights

Type

PDF, Research
1 June 2013

AML/CFT annual monitoring report 2013

This document outlines the Financial Markets Authority’s (FMA’s) priorities for monitoring reporting entities under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT Act).

Tags

AML/CFT, Reports and Papers, Roles, Reporting entities, Business, News & Insights

Type

PDF
1 February 2016

AML/CFT annual monitoring report 2015

The aim of this report is to summarise our monitoring to help firms and individuals better understand our expectations, and therefore improve their systems and processes, and ensure compliance with the Act. This report covers the period from 1 July 2014 to 30 June 2015.

Tags

AML/CFT, Reports and Papers, Roles, Reporting entities, Business, News & Insights

Type

PDF
29 September 2021

AML/CFT monitoring insights report 2021

Insights from the FMA’s monitoring of New Zealand’s anti-money laundering and countering financing of terrorism measures by FMA reporting entities from 1 July 2018 – 30 June 2021

Tags

AML/CFT, Reporting entities, Roles, Business

Type

PDF, Report
3 July 2017

AML/CFT Sector Risk Assessment 2017

Our Sector Risk Assessment (SRA) helps us and the REs
we supervise understand the risks of money-laundering
(ML) and terrorism financing (TF) in each sector.

Tags

AML/CFT, Reports and Papers, Roles, Business, News & Insights

Type

PDF
1 March 2011

AML/CFT Sector Risk Assessment 2011

Our Sector Risk Assessment (SRA) helps us and the REs
we supervise understand the risks of money-laundering
(ML) and terrorism financing (TF) in each sector.

Tags

AML/CFT, Reports and Papers, Roles, Reporting entities, Business, News & Insights

Type

PDF
6 July 2021

Investor Confidence Report 2021

This annual report is intended to measure the level of confidence the New Zealand public have in the New Zealand financial markets along with perceptions and awareness of the FMA.
The research is conducted by an exernal provider. This is the Investor confidence survey results published in 2021.

Tags

Reports and Papers, Business, FMA, News & Insights

Type

PDF, Surveys
24 June 2020

Investor Confidence Report 2020

This annual report is intended to measure the level of confidence the New Zealand public have in the New Zealand financial markets along with perceptions and awareness of the FMA.
The research is conducted by an exernal provider. This is the Investor confidence survey results published in 2020.

Tags

Business

Type

PDF, Surveys
27 January 2022

Ease of Doing Business Stakeholder research 2021

The FMA’s “Ease of doing business survey 2021” is a piece of research from a sample of our regulated populations and the stakeholders we deal with.
This research helps us to better understand the impact that our work has on market participants and stakeholders. It informs the way we work and our focus on continuous improvement in our effectiveness and efficiency.

Tags

Reports and Papers, News & Insights

Type

PDF, Surveys
30 June 2021

Filing of financial statements: review findings and guidance

This document provides a summary of the key findings and insights from our monitoring review of financial reporting filing obligations. It also provides guidance and sets our expectations for future reporting periods.

Tags

Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Roles, Business, Peer-to-peer lending service providers

Type

PDF, Report
23 June 2015

Ease of doing business Stakeholder research 2015

The FMA’s “Ease of doing business survey” is a piece of research from a sample of our regulated populations and the stakeholders we deal with. This research helps us to better understand the impact that our work has on market participants and stakeholders. It informs the way we work and our focus on continuous improvement in our effectiveness and efficiency.

Tags

Reports and Papers, News & Insights

Type

PDF, Surveys
1 May 2018

Investor Confidence Report 2018

The FMA commissioned Buzz Channel to measure New Zealanders’ attitudes towards and confidence in New
Zealand’s financial markets. This is the 2019 survey report.

Tags

Reports and Papers, Business, News & Insights

Type

PDF, Surveys
2 July 2018

QFE insurance providers’ replacement business practices

This thematic review published in July 2018 focuses on QFE insurance providers’ replacement business practices and assesses how their policies and procedures are designed to ensure consumer protection at the point of policy replacement.

Tags

Reports and Papers, Insurance Providers, Business, News & Insights

Type

PDF