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  1. 27 September 2013

    Monitoring of non-GAAP disclosures

    Our review focused on the disclosure of non-GAAP profit information in market communications. This report is intended for issuers, their directors and preparers of financial information.
    Tags
    Auditors, Directors, Roles, Reports and Papers, Business
    Type
    Page, Financial reporting, Report

  2. 30 April 2014

    Investor experience of IPOs survey

    An online survey of 303 New Zealanders who invested in or seriously considered investing in a recent IPO was conducted to provide an overview of the IPO experience.
    Tags
    Offer information, Roles, Reports and Papers, Business, Market operator
    Type
    Page, Surveys

  3. 1 December 2014

    FMA's review of market disclosures

    This report was first published by the Financial Markets Authority (FMA) in June 2013 and discusses disclosure obligations under the SMA. These disclosure obligations now fall under the FMC Act and are largely unchanged, therefore the findings and observations contained in this report remain relevant.
    Tags
    Crowdfunding providers, Cryptocurrencies, Directors, Derivative Issuer, Discretionary investment management scheme (DIMS), Offer disclosure for equity and debt offers, Roles, Reports and Papers, Business, Managed investment schemes, Peer-to-peer lending service providers
    Type
    Page, Report

  4. 9 September 2019

    Growing New Zealand’s Capital Markets 2029

    NZX and the Financial Markets Authority (FMA) welcomed the release of the Capital Markets 2029 report, saying the 10-year vision and growth agenda would create more opportunities for Kiwis to grow personal wealth, help New Zealand businesses to prosper, and help future-proof the country’s economy.
    Tags
    Financial market infrastructures, Roles, Reports and Papers, Business, Market operator
    Type
    Page, Report

  5. 10 November 2014

    Gentrack IPO Report

    This report describes our conclusions following a review of matters arising out of Gentrack’s initial public offering (IPO) of shares and its disclosure at the time of the IPO.
    Tags
    Offer information, Roles, Reports and Papers, Business, Market operator
    Type
    Page, Report

  6. 20 February 2018

    Conduct Outcomes Report

    This report outlines how we responded to the areas of misconduct we saw during 2017. It also gives an overview of our supervision activity for the parts of the financial services industry we regulate.
    Tags
    AML/CFT, Crowdfunding providers, Cryptocurrencies, Directors, Derivative Issuer, Discretionary investment management scheme (DIMS), Offer disclosure for equity and debt offers, Financial Advice Provider, Independent trustee, Roles, Reports and Papers, Business, Managed investment schemes, Peer-to-peer lending service providers
    Type
    Page, Report

  7. 30 October 2013

    Clear, Concise and Effective Disclosure?

    In this report, we outline our findings and observations to help issuers and their advisers understand our expectations of ‘clear, concise and effective’ disclosure. We seek disclosure that aids, rather than hinders, investor decision making.
    Tags
    Reports and Papers, Offer disclosure for equity and debt offers, Roles, Business, News & Insights
    Type
    Page, Report

  8. 7 December 2021

    AML/CFT - Sector Risk Assessment

    Our AML/CFT SRA 2021 is an important document that provides general information and specific examples to assist reporting entities (REs) in the ten sectors we supervise for anti-money laundering and countering the financing of terrorism (AML/CFT). It will assist REs to prepare and review their individual assessments of the risks of AML/CFT under sections 58 and 59 of the AML/CFT Act.
    Tags
    AML/CFT, Roles, Reporting entities, Reports and Papers, Business
    Type
    Page, Report

  9. 4 August 2016

    A review of corporate governance disclosure in New Zealand

    This report presents our review of corporate governance reporting. We are sharing these findings with companies so they can reflect on their governance practices and disclosures.
    Tags
    Directors, Roles, Reports and Papers, Business
    Type
    Page, Paper

  10. 22 May 2019

    Audit Quality Perceptions Research

    The overall aim of this research is to inform FMA of public and industry perceptions of the audit quality in NZ and enable them to target work to increase understanding of the auditor’s role, strengthen perceived value of that role, along with knowledge of the FMA’s role of oversight and regulation of auditors.
    Tags
    Auditors, Roles, Reports and Papers, Business
    Type
    Page, Research

  11. 15 December 2022

    ASX 24 review report

    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.
    Tags
    Roles, Reports and Papers, Business, Market operator, News & Insights
    Type
    Page, Report

  12. 18 March 2022

    Impact of Russia Sanctions on AML/CFT reporting entities

    An update from the three AML/CFT Act supervisors to reporting entities on what is required of them under the Russia Sanctions Act 2022.
    Tags
    AML/CFT, AML/CFT act 2009, Roles, Legislation, Business
    Type
    Page, Guidance

  13. 16 July 2021

    Birth Certificates with Redacted Information

    The Anti-Money Laundering and Countering the Financing of Terrorism (AML/CFT) Supervisors have produced this factsheet to confirm their position is that certain details may be redacted by a customer from their birth certificate if it is used for identity verification purposes when conducting customer due diligence.
    Tags
    AML/CFT, Client money or property services provider, Compliance, Crowdfunding providers, Cryptocurrencies, Financial Adviser, Independent trustee, Obligations, Roles, Business, Supervisor
    Type
    Page, Guidance

  14. 31 October 2014

    Exemptions: Financial Advisers Act 2008

    The Guidance note explains the approach of the Financial Markets Authority (the FMA) to granting exemptions under the Financial Advisers Act 2008. It is intended to provide answers to commonly asked questions in relation to exemptions and to provide information to potential applicants on the process for making an application.
    Tags
    Financial advice, Directors, Roles, Auditors, Financial Adviser, Exemptions, Business, Consumer, Supervisor
    Type
    Page, Guidance