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  1. 1 September 2014

    Investigations and Enforcement Report 2014

    Key issues and themes arising from investigations and enforcement activities as reported by the FMA.
    Tags
    Reports and Papers, FMA, News & Insights, Enforcement
    Type
    PDF

  4. 16 June 2021

    KiwiSaver switching behaviour 150621

    The aim of this research was to identify how any switches and other transactions took place between Febuary and April 2020 at the height of the market volatility associated with COVID-19
    Tags
    Reports and Papers, KiwiSaver providers, Supervisor, Managed investment schemes, Roles, COVID-19, Business, News & Insights
    Type
    PDF

  6. 28 June 2017

    Statement of Intent 2017

    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 2017 report.
    Tags
    Type
    PDF, Statement of intent, Corporate publications

  10. 13 June 2013

    Investigations and Enforcement Report 2013

    This report highlights the key issues and themes that have emerged through FMA’s investigations and enforcement activities from July 2012 to June 2013.
    Tags
    Reports and Papers, Monitoring, Business, News & Insights, Enforcement
    Type
    PDF

  11. 1 November 2019

    A guide to understanding auditing and assurance 2019

    A guide to understanding auditing and assurance: FMC Reporting Entities in New Zealand explains in plain language the value and purpose of auditing and assurance. This will
    assist shareholders, investors and other readers of financial statements who are not experts in auditing and assurance to better understand the messages from the entity’s auditor and make use of this information in their decision making
    Tags
    Auditors, Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Independent trustee, Peer-to-peer lending service providers, Roles, Business
    Type
    PDF

  12. 7 April 2020

    COVID 19 KiwiSaver significant financial hardship applications alternative verification

    A person applying for a significant hardship withdrawal can complete a statutory declaration via an audiovisual link with an authorised witness (such as a lawyer). However, given the COVID-19 Alert Level 3 and 4 restrictions, the FMA considers supervisors can, at their discretion, accept applications that take alternative steps to verify an applicant’s identity and financial circumstances.
    Tags
    KiwiSaver providers, Supervisor, COVID-19, Managed investment schemes, Roles, Business, News & Insights
    Type
    PDF, Information Sheet

  13. 1 October 2020

    COVID-19: Timetable of deferred Regulatory initiatives

    The table provides a list of the regulatory initiatives that are being deferred during the Covid-19 Alert Levels in August and September 2021. These deferrals will enable banks and other financial services firms to focus their efforts more effectively on continuing to operate smoothly and providing credit and other support to individuals and businesses.
    Tags
    COVID-19, News & Insights
    Type
    PDF, Notice

  14. 24 September 2021

    KiwiSaver Annual Report 2021

    The report details the principal matters transacted under the Act during the year ended 30 June 2021, and contains the
    sixth annual summary of the statistical returns, required to be lodged by KiwiSaver schemes under section 125 of the Act.
    Tags
    Reports and Papers, KiwiSaver providers, Supervisor, Managed investment schemes, Roles, Business, News & Insights
    Type
    PDF