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  1. 15 November 2017

    Investigation into certain trading conduct of Goldman Sachs New Zealand Limited

    During our investigation into Mark Warminger, we saw trading activity by Goldman Sachs that gave cause for concern and warranted further investigation. This activity may have presented a false or misleading appearance of the price and supply of securities, which is why it came to our attention. Read more.
    Tags
    Cases, Investigations, Reports and Papers, News & Insights, Enforcement
    Type
    Page

  2. 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

  3. 10 April 2018

    Product disclosure statements: understanding investors’ information needs

    The purpose of this report is to help issuers and their advisers think about how they can make disclosure information more useful for investors.
    Tags
    Offer disclosure for equity and debt offers, Disclose register, Roles, Cryptocurrencies, Directors, Derivative Issuer, Discretionary investment management scheme (DIMS), Offer information, Reports and Papers, Business, Managed investment schemes, News & Insights
    Type
    Page

  4. 24 May 2017

    Licensing overview report

    What we found and what you need to know to meet your licence obligations.with the FMA.
    Tags
    Reports and Papers, Client money or property services provider, Crowdfunding providers, Cryptocurrencies, Derivative Issuer, Discretionary investment management scheme (DIMS), Offer disclosure for equity and debt offers, Financial Advice Provider, Licensing & registration, Roles, Business, Managed investment schemes, News & Insights, Peer-to-peer lending service providers
    Type
    Page, Report

  5. 6 April 2023

    Peer-to-peer and crowdfunding: sector snapshot

    This report is a 'snapshot' of peer-to-peer lending (P2P) and crowdfunding activity in New Zealand
    Tags
    Crowdfunding providers, Roles, Reports and Papers, Business, News & Insights, Peer-to-peer lending service providers
    Type
    Page, Report

  6. 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

  7. 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

  8. 29 January 2019

    Life Insurer Conduct and Culture

    Findings from an FMA and RBNZ review of conduct and culture in New Zealand life insurers
    Tags
    Roles, Conduct, Insurance Providers, Reports and Papers, Financial Institutions, Business, News & Insights
    Type
    Page, Report

  9. 1 October 2014

    Superannuation Schemes Report

    This report has been prepared in accordance with section 28 of the Act and details the principal matters transacted under the Act during the reporting period.
    Tags
    Roles, Reports and Papers, KiwiSaver providers, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page, Report

  10. 29 June 2018

    Switzerland recognises New Zealand audit oversight regime

    The Swiss Government has announced its recognition of the New Zealand audit oversight regime as equivalent to the Swiss standards, permitting NZ-regulated auditors to operate in Switzerland.
    Tags
    Auditors, Roles, Reports and Papers, Business, News & Insights
    Type
    Page, Notice

  12. 29 June 2016

    Replacing life insurance — who benefits?

    The FMA has previously raised concerns about the extent of replacement business in the life insurance industry. In response to these concerns, we initiated a review to determine whether insurance churn exists in the New Zealand market and, if it does, whether it harms consumers. Download the full report on this page.
    Tags
    Reports and Papers, Authorised body under a FAP, Financial Advice Provider, Financial Adviser, Roles, Insurance Providers, Financial Institutions, Business, News & Insights
    Type
    Page

  13. 17 May 2021

    Negative Interest Rate report

    The report is a summary of responses received from our survey of licensed financial services firms in September 2020 regarding their readiness for negative interest rates.
    Tags
    Reports and Papers, Crowdfunding providers, Cryptocurrencies, Directors, Derivative Issuer, Discretionary investment management scheme (DIMS), Offer disclosure for equity and debt offers, Roles, Banking, Financial Institutions, Business, Managed investment schemes, News & Insights, Peer-to-peer lending service providers
    Type
    Page

  14. 23 September 2021

    Review of credit card repayment insurance products

    The FMA has conducted a review of credit card repayment insurance products to gain a better understanding of providers’ practices, and the product’s suitability for consumers. We advise anyone who has purchased this sort of insurance to read the report.
    Tags
    Financial Advice Provider, Roles, Reports and Papers, Banking, Insurance Providers, Financial Institutions, Business, News & Insights
    Type
    Page

  15. 26 June 2023

    FMA publishes final guidance for the intermediated distribution of financial products

    The FMA today published its final guidance for financial institutions that distribute products and services through intermediaries as part of the Conduct of Financial Institutions (CoFI) regime.
    Tags
    Media release, Banking, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Financial Institutions, Roles, Business, News & Insights, Supervisor
    Type
    Page, Guidance