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  1. 1 June 2014

    Auditor regulation and oversight plan 2014 2017

    Audits of FMC reporting entities’ financial statements are designed to increase investor confidence. One of the ways
    we ensure these audits are done well is by reviewing audits at registered audit firms. This plan is for the 2014-2017 period
    Tags
    Regulation, Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  4. 13 November 2019

    Ease of doing business survey report 2019

    The FMA commissioned Buzz Channel to conduct research among key stakeholders to understand the effectiveness of
    interactions FMA has with stakeholders and satisfaction with
    the service it provides.
    Tags
    Reports and Papers, FMA, News & Insights
    Type
    PDF, Research

  5. 3 March 2016

    IFIAR Survey of Inspection Findings 2015

    In 2015, the International Forum of Independent Audit Regulators (IFIAR) conducted its fourth annual survey of findings (Survey) identified by its Members in their individual inspections of audit firms affiliated with six large, international audit firmnetworks, referred to as the GPPC networks.
    Tags
    Monitoring, Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  9. 27 June 2019

    NZX Obligations Review 2018

    Under the FMC Act, we are required to review at least annually how well a licensed market operator is meeting its obligations, and to publish a written report. Broadly, these relate to the areas of operation that are regulatory in nature. Publishing the report provides transparency into our oversight of NZX. This report was published in 2018.
    Tags
    Market operator, Reports and Papers, Roles, Business, News & Insights
    Type
    PDF

  13. 29 June 2012

    NZX Obligations Review 2012

    Under the FMC Act, we are required to review at least annually how well a licensed market operator is meeting its obligations, and to publish a written report. Broadly, these relate to the areas of operation that are regulatory in nature. Publishing the report provides transparency into our oversight of NZX. This report was published in 2012.
    Tags
    Market operator, Roles, Reports and Papers, Business, News & Insights
    Type
    PDF

  14. 30 May 2015

    CMB Information Sheet for May 2015

    Offers of contributory mortgages made by contributory mortgage brokers who are not lawyers are regulated under the Securities Act (Contributory Mortgage) Regulations 1988 (Regulations). The Regulations exempt brokers from certain disclosure and governance requirements, under the Securities Act 1978.
    Tags
    FMC Act, Governance, Legislation, Business, FMA
    Type
    PDF, Information Sheet

  15. 1 June 2012

    Auditor regulation and oversight plan 2012 2015

    Audits of FMC reporting entities’ financial statements are designed to increase investor confidence. One of the ways
    we ensure these audits are done well is by reviewing audits at registered audit firms. This plan is for the 2012-2015 period
    Tags
    Regulation, Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF