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1. 17 December 2014

   NZICA Accredited Bodies Report 2014

   This report contains the outcome of our assessment of
   the New Zealand Institute of Chartered Accountants
   (NZICA) for the period 1 July 2013 to 30 June 2014.

   Tags

   Reports and Papers, Auditors, Roles, Business, News & Insights

   Type

   PDF

2. 7 April 2014

   Disclosure of fees paid to auditors by listed issuers 2014

   As part of our thematic review, we reviewed the disclosure of fees paid to the external auditors of a sample of
   listed issuers for balance dates in 2012. This report summarises our findings and the concerns we have about the current quality of disclosure of audit and non-audit fees.

   Tags

   Reports and Papers, Auditors, Roles, Business, News & Insights

   Type

   PDF

3. 1 December 2014

   Accredited Body Report Certified Public Accountants Australia 2014

   This report contains the outcome of our assessment of
   Certified Public Accountants Australia (CPA Australia) for
   the period 1 July 2013 to 30 June 2014 (the Review Period).

   Tags

   Reports and Papers, Auditors, Roles, Business, News & Insights

   Type

   PDF

4. 9 December 2015

   NZICA accredited bodies report 2015

   This report contains the outcome of our assessment of
   the New Zealand Institute of Chartered Accountants
   (NZICA) for the period 1 July 2014 to 30 June 2015.

   Tags

   Reports and Papers, Auditors, Roles, Business, News & Insights

   Type

   PDF

5. 23 June 2017

   Auditor regulation and oversight plan 2017 2020

   The Auditor regulation and oversight plan, 2017-2020 is for Auditors or people who prepare financial statements.

   Tags

   Reports and Papers, Auditors, Roles, Business, News & Insights

   Type

   PDF

6. 28 June 2017

   Ice Futures Europe 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

7. 12 December 2016

   CPA accredited body report 2016

   The Auditor Regulation Act 2011 (the Act) requires us to monitor and ensure the audit regulatory systems and
   processes used by accredited bodies are adequate and effective.
   This report contains the findings of our monitoring assessment of CPA Australia for the period 1 July 2015 to 30 June 2016.
   

   Tags

   Reports and Papers, Auditors, Roles, Business, News & Insights

   Type

   PDF

8. 12 December 2016

   NZICA accredited body report 2016

   The Auditor Regulation Act 2011 (the Act) requires us to monitor and ensure the audit regulatory systems and
   processes used by accredited bodies are adequate and effective.
   This report contains the findings of our monitoring assessment of the New Zealand Institute of Chartered Accountants (NZICA) for the period 1 July 2015 to 30 June 2016.

   Tags

   Reports and Papers, Auditors, Roles, Business, News & Insights

   Type

   PDF

9. 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

10. 22 September 2017

    FSPR report 2017

    Some businesses and individuals register on the Financial Services Provider Register (FSPR) to mislead overseas investors that their activities are regulated by us or other authorities. We do not oversee or maintain the FSPR, the Companies Office performs this role. But we do have the power to deregister a business or individual or prevent them from registering in the first place. Read about the work we’re doing to tackle misuse of the register and some useful case studies that provide examples of where we’ve taken action.

    Tags

    Reports and Papers, FSPR, Business, News & Insights

    Type

    PDF

11. 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

12. 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

13. 1 December 2013

    Audit Quality Review Report 2013

    This report provides an overview of the outcomes of the audit quality review activities of the Financial Markets Authority (FMA) for the period 1 July 2012 to 30 June 2013.

    Tags

    Reports and Papers, Auditors, Roles, Business, News & Insights

    Type

    PDF

14. 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

15. 15 June 2023

    ICE Futures US general obligations review 2023

    The 2023 ICE Futures US general obligations review review focuses on whether the CFTC was satisfied with IFUS’s compliance during the review period.

    Tags

    Reports and Papers, Roles, Business, News & Insights, Market operator

    Type

    PDF