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9 December 2015

CPA Australia accredited body report 2015

The Auditor Regulation Act 2011 (the Act) requires the FMA to monitor the audit regulatory systems of accredited bodies to ensure that these systems and processes are adequate and effective. This report contains the outcome of our monitoring assessment of CPA Australia for the period 1 July 2014 to 30 June 2015.

Tags

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

Type

PDF
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
6 March 2017

Adviser point of retirement research report 2017

This report summarises feedback we gathered from 10 authorised financial advisers about advice close to or at
retirement. It also includes feedback from 104 people currently receiving advice from financial advisers. The purpose of this research was to find out if financial advice helps New Zealanders manage their retirement savings. It forms part of a wider FMA project to understand the financial help and advice people receive when they retire.

Tags

Reports and Papers, Investor capability, FMA, News & Insights

Type

PDF
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
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
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
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
30 November 2016

Audit Quality Monitoring report 2016

Our quality reviews of audit firms help improve audit quality standards and ensure that audit opinions are reliable. These reviews also help us achieve our strategic goal of ensuring that investors have access to resources which help them make better informed financial decisions. In this year’s report, we also draw attention to our expectations of directors and auditors of financial statements and the key focus areas which our stakeholders need to be aware of.

Tags

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

Type

PDF
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
5 July 2016

Kiwisaver Statements survey results 2016

In May 2016, Colmar Brunton carried out research for the FMA among the general public to understand how KiwiSaver statements are perceived and how people use them.

Tags

Reports and Papers, KiwiSaver providers, Roles, Business, Managed investment schemes, News & Insights, Supervisor

Type

PDF, Research
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
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
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
28 November 2017

Investor Capability Strategy 2017 2020

This strategy sets out how we plan to target our efforts around ensuring investors have access to the information they need to make informed investment decisions.

Tags

FMA

Type

PDF
27 June 2018

Improving financial statements monitoring report

This monitoring report summarises the findings from our thematic review to determine the extent of improvements in the presentation of financial statements in a clear, concise and effective way, and sets out some suggestions for additional improvement.

Tags

Reports and Papers, News & Insights

Type

PDF