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  1. 30 November 2021

    Audit Quality Monitoring Report 2021

    Audit Quality Monitoring Report 20/21 - This report summarises our findings from the quality reviews we carried out between 1 July 2020 and 30 June 2021.
    Tags
    Auditors, Monitoring, Roles, Business
    Type
    PDF, Report

  2. 2 December 2022

    Accredited Body Report - CPA Australia 2022

    Findings from the FMA’s review of the adequacy and effectiveness of CPA Australia’s audit regulatory systems for the period 1 July 2021 to 30 June 2022
    Tags
    Roles, Accredited bodies, Business
    Type
    PDF, Report

  3. 30 November 2014

    Audit Quality Monitoring report 2014

    The Audit Quality Review Report 1 July 2013-30 June 2014 provides an overview of the outcomes of the audit quality review activities of the Financial Markets Authority (FMA)
    Tags
    Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  4. 11 July 2022

    Class legislative notice summary 2022

    This is a summary of the Financial Markets Conduct Act class legislative notices we have granted as
    at 1 June 2022. It includes exemptions, designations, frameworks or methodologies, and public
    accountability notices.
    Tags
    Designations, FMC Act, Exemptions, Legislation, Business
    Type
    PDF

  5. 2 August 2023

    Class legislative notices summary 2023

    This is a summary of the Financial Markets Conduct Act class legislative notices we have granted
    (and are in force) as at 1 June 2023. It includes exemptions, designations, frameworks or
    methodologies, and public accountability notices.
    Tags
    FMC Act, Legislation, Business
    Type
    PDF, Notice

  7. 4 October 2019

    Psychometric testing - OIA request

    OIA response, dated 4 October 2019, which psychometric testing occurred as part of initiatives by the FMA and costs associated during the period 1 July 2017 to 30 June 2019
    Tags
    FMA
    Type
    PDF, OIA

  8. 12 November 2020

    Cases Investigated - OIA request

    OIA response, dated 12 November 2020, questions asked around the policies, documents, communications and number of cases / prosecutions the FMA has assessed between 1 July 2017 - 12 November 2020
    Tags
    FMA
    Type
    PDF, OIA

  9. 28 September 2023

    Catalist market operator obligations review 2023

    Findings from the FMA’s review of how well Catalist is meeting its licensed market operator obligations, for the period 1 April 2022 to 31 March 2023.
    Tags
    Roles, Reports and Papers, Business, Market operator, News & Insights
    Type
    PDF

  10. 8 December 2023

    Accredited body report - CPA Australia 2023

    Findings from the FMA’s review of the adequacy and effectiveness of CPA Australia’s audit regulatory systems for the period 1 July 2022 to 30 June 2023
    Tags
    Roles, Accredited bodies, Business
    Type
    PDF, Report

  11. 26 June 2024

    Statement of Intent 2024 to 2028

    The SOI provides a four-year outlook on the performance measures that we will use to demonstrate progress towards our strategic intentions (alternatively referred to as strategic objectives), spanning 1 July 2024 to 30 June 2028.
    Tags
    Type
    PDF, Corporate publications, Statement of intent

  12. 19 January 2021

    ASX24 Obligations Review 2020

    Australian Securities Exchange Limited (ASX 24) is licensed to operate the ASX 24 derivatives market (derivatives
    market) in New Zealand. The FMA is required to report at least once every two years1 on how well ASX 24 is meeting
    its licensed market operator obligations. This review covers the period 1 July 2018 to 30 June 2020. T
    Tags
    Monitoring, Reports and Papers, Market operator, Roles, Business, News & Insights
    Type
    PDF

  13. 1 July 2022

    Financial Markets Conduct (Futurity Investment Group Limited) Exemption Notice 2022

    The Financial Markets Conduct (Futurity Investment Group Limited) Exemption Notice 2022 (Exemption) exempts Futurity Investment Group Limited (the manager), as manager of Futurity managed investment schemes in New Zealand, principally from section 156(1) of the Financial Markets Conduct Act 2013 (the Act) subject to certain conditions.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  15. 20 February 2024

    CAPITALGROUP (19 ARGYLE) LIMITED

    CAPITALGROUP (19 ARGYLE) LIMITEDCAPITALGROUP (31 HARKER) LIMITED
    CAPITALGROUP (37 CORONATION) LIMITED
    CAPITALGROUP (44 NEWMARK) LIMITED
    CAPITALGROUP (464 CASHEL) LIMITED
    CAPITALGROUP (62 MILTON) LIMITED
    CAPITALGROUP (AWA) LIMITED
    CAPITALGROUP (DRURY) LIMITED
    CAPITALGROUP (ENNIS) LIMITED
    CAPITALGROUP (FEATHERSTON) LIMITED
    CAPITALGROUP (FORGE1) LIMITED
    CAPITALGROUP (MALVERN) LIMITED
    CAPITALGROUP (SACKVILLE) LIMITED
    CAPITALGROUP (SPEDDING) LIMITED
    are AML/CFT reporting entities.
    Tags
    Type
    Page