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  1. 15 June 2023

    ICE Futures Europe general obligations review 2023

    The 2023 ICE Futures Europe general obligations review focuses on whether the FCA was satisfied with IFEU’s compliance during the review period.
    Tags
    Roles, Reports and Papers, Market operator, Business, News & Insights
    Type
    PDF

  2. 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

  3. 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

  4. 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

  5. 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

  6. 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

  7. 30 June 2015

    Disclosure of fees paid to auditors by listed issuers

    In our report, we advised market participants that we would continue to monitor the disclosure of audit and non-audit fee information by issuers, and follow up with another review to assess whether the quality of disclosures have improved.
    Tags
    Auditors, Directors, Offer disclosure for equity and debt offers, Roles, Reports and Papers, Business, News & Insights
    Type
    Page, Paper

  8. 4 August 2016

    Review of corporate goverance disclosure 2016

    This 2016 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, Reports and Papers, Roles, Business, News & Insights
    Type
    PDF

  9. 1 December 2016

    IMF 2016 review of NZ

    International Monetary Fund (IMF) visited New Zealand to conduct a Financial Sector Assessment Program (FSAP) of this country’s financial system. The goal of FSAP assessments is to gauge the stability of the country’s financial sector, to identify any potential sources of systemic risk and to assess its potential contribution to growth and development. Read more.
    Tags
    Reports and Papers, Financial market infrastructures, Roles, Business, News & Insights, Market operator
    Type
    Page, Report

  10. 28 February 2013

    FMA's Compliance Focus for 2013

    This document outlines the Financial Markets Authority’s (FMA’s) priority areas for monitoring and surveillance in 2013. It provides an opportunity for participants to assess their activities and take steps to improve behaviours and compliance controls in these areas.
    Tags
    Roles, Reports and Papers, Business, News & Insights
    Type
    Page, Paper

  11. 6 June 2013

    FMA’s supervision of AML/CFT

    This document outlines the 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, Roles, Reporting entities, Reports and Papers, Business, News & Insights
    Type
    Page, Report

  12. 18 April 2018

    General stocktake of fund updates

    Quarterly fund updates (fund updates) let investors know important information about their managed fund, such as how it is performing, what it is costing them, and what their fund is investing in.
    Tags
    Roles, Discretionary investment management scheme (DIMS), Offers of financial products, Reports and Papers, Business
    Type
    Page

  13. 1 September 2015

    FMA and CFFC survey of NZers aged 50 years plus

    This survey looks at older New Zealanders’ expectations for and experiences of retirement. The research was conducted among those aged 50 years and over, and includes the views of those who are nearing retirement and those who have already retired.
    Tags
    Reports and Papers, Roles, KiwiSaver providers, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page, Research

  14. 1 July 2010

    Review of Corporate Governance Disclosure by Selected Issuers

    The purpose of this report is to inform governing bodies, investors and other stakeholders of our findings so that they can reflect critically on the governance practices and disclosures of issuers.
    Tags
    Governance, Directors, Offer disclosure for equity and debt offers, Roles, Reports and Papers, Business, FMA, News & Insights
    Type
    Page

  15. 29 November 2017

    Key Audit Matters - A stock take of the first year in New Zealand

    This report provides a stock take of the New Zealand experience in the first year of adopting the revised auditor’s report, specifically focussing on the reporting of key audit matters (KAMs).
    Tags
    Auditors, Roles, Reports and Papers, Business, News & Insights
    Type
    Page, Report