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Found 1611 results. Displaying page 16 of 108

  1. 24 June 2021

    Statement of Performance Expectations 2021 to 2022

    Our Statement of Performance Expectations outlines our short-term (annual) performance targets. It should be read in conjunction with our Statement of Intent. This is the 2021 to 2022 report.
    Tags
    Reports and Papers, News & Insights
    Type
    PDF, Corporate publications, Statement of Performance Expectations

  2. 27 June 2023

    Statement of Performance Expectations 2023 to 2024

    This SPE sets out our financial forecast for the financial year 1 July 2023 to 30 June 2024. It is prepared in line with the
    Crown Entities Act 2004 and should be read together with the FMA’s Statement of Intent 2021-2024.
    Tags
    Type
    PDF, Corporate publications, Statement of Performance Expectations

  5. 3 June 2021

    Statement of Intent 2014

    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 2014 report.
    Tags
    Type
    PDF, Statement of intent, Corporate publications

  6. 28 June 2017

    Statement of Performance Expectation 2017

    The Statement of Performance Expectations (SPE) is one of two documents that set out how we measure our
    future performance and report on the progress of that performance against our performance targets. This is our 2017 report.
    Tags
    Type
    PDF, Statement of Performance Expectations, Corporate publications

  7. 7 June 2017

    KiwiSaver annual statements methodology notice

    This notice comes into force on 2017 and applies to accounting periods of KiwiSaver schemes that commence on or after the commencement date of this notice. The notice sets out a methodology which managers of KiwiSaver schemes must comply with when calculating the approximate total sum of the fees paid by each of their scheme participants. This information (which must be expressed as a dollar amount) must be included in the confirmation information that KiwiSaver providers are required to provide to each scheme participant each year pursuant to the Financial Markets Conduct Act 2013 (Act).
    Tags
    KiwiSaver providers, Roles, Business, Managed investment schemes
    Type
    PDF, Notice

  8. 23 August 2023

    Regulatory returns questions for licensed MIS

    Annual regulatory return information to be provided by licensed MIS providers to the FMA.
    Tags
    Roles, Regulatory returns, Business, Managed investment schemes
    Type
    Word document, Information Sheet, Spreadsheet

  9. 9 November 2022

    Monitoring of licensed Financial Advice Providers (FAPs)

    The Monitoring of licensed Financial Advice Providers information sheet explains how we carry out monitoring activities, what we expect of you, and what you can expect from us.
    Tags
    Financial Advice Provider, Roles, Business
    Type
    Page, Guidance

  10. 16 October 2022

    Climate risks and the impact on financial statement audits

    This document provides clarity for auditors about the expectations for information about climate risks in audit files.
    Tags
    Climate related disclosure, Auditors, Roles, Ethical finance, Authorised body under a FAP, Climate Reporting Entities, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  11. 8 July 2022

    Approach to oversight of financial statements

    In this document we provide a summary of our main work in monitoring compliance with financial reporting obligations by FMC reporting entities and registered schemes (regulated entities) from 2022-2025.
    Tags
    Auditors, Directors, Roles, Climate related disclosure, Climate Reporting Entities, Business
    Type
    Page, Financial reporting, Guidance

  12. 9 March 2021

    Australian Licensees Exemption Notice guidance

    This guidance note provides an overview of the exemption notice relating to Australian advice businesses giving advice to New Zealand retail clients, and the circumstances in which a business may be able to rely on it.
    Tags
    Financial Advice Provider, Roles, Financial Adviser, Financial Institutions, Business
    Type
    Page, Guidance

  13. 1 November 2014

    Statements of investment policy and objectives (SIPO) under the FMC Act

    This guidance note outlines the expectations the Financial Markets Authority (FMA) has for your approach to preparing statements of investment policy and objectives (SIPOs) under Part 4 of the Financial Markets Conduct Act 2013 (FMC Act).
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  14. 1 December 2014

    Quality financial reporting: how to improve financial statements

    Quality financial reporting: how to improve financial statements is a summary report on how to improve financial statements. It is intended for is for anyone involved in the preparation, audit and review of financial statements.
    Tags
    Directors, Auditors, Roles, Business
    Type
    Page, Financial reporting, Guidance

  15. 1 May 2014

    MIS managers and their licensed supervisors

    The Financial Markets Conduct (FMC) Act 2013 changes the governance and accountability framework for financial products. Find out what these changes mean for managed investment scheme (MIS) managers and their licensed supervisors.
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance