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  1. 24 August 2022

    '5 mins with the FMA' podcast #2: Conduct of Financial Institutions (CoFI)

    FMA’s Director of Banking and Insurance Conduct, Clare Bolingford, talks about the Conduct of Financial Institutions (CoFI) regime in this FMA podcast.
    Tags
    Podcast, Financial Adviser, Banking, Insurance Providers, Roles, Conduct of Financial Institutions Bill (CoFI), Financial Institutions, Managed Investment Schemes, Business, Managed investment schemes, News & Insights
    Type
    Page, Podcast

  2. 31 August 2022

    KIRSCHBERG INSURANCES LIMITED

    KIRSCHBERG INSURANCES LIMITED is an AML reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  3. 3 February 2023

    SHARP INSURANCES LIMITED

    SHARP INSURANCES LIMITED (FSP70105) is an AML/CFT reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  4. 3 February 2023

    NZ 1ST INSURANCES LIMITED

    NZ 1ST INSURANCES LIMITED (FSP739631) is an AML/CFT reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  8. 8 June 2017

    Encouraging fund choice in KiwiSaver

    This report is for KiwiSaver providers and for providers of any Managed Investment Scheme. It will also be of interest to behavioural insight researchers. This report describes the results of a behavioural insights randomised control trial.
    Tags
    Roles, Reports and Papers, KiwiSaver providers, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page, Report

  9. 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

  10. 16 June 2023

    Ice Futures US review

    The FMA was required to report, at least once every two years, on how well ICE Futures U.S., Inc. (IFUS) was meeting its obligations as a licensed market operator. View the report on this page.
    Tags
    Roles, Reports and Papers, Business, Market operator, News & Insights
    Type
    Page, Report

  11. 5 October 2023

    Lessons learned from the Barry Kloogh Ponzi scheme

    The FMA has issued a report following the fraudulent activities of Barry Kloogh. This report records the FMA’s views and findings on the conduct that was the subject of these enquiries, the law that applies to that conduct, and our actions as a result of our findings.
    Tags
    Reports and Papers, Client money or property services provider, Roles, Financial Advice Provider, Financial Adviser, Business, News & Insights, Enforcement
    Type
    Page

  12. 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 June 2019

    NZX Obligations Review 2019

    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 2019.
    Tags
    Market operator, Roles, Reports and Papers, Business, News & Insights
    Type
    Paper, PDF

  15. 29 June 2013

    NZX Obligations Review 2013

    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 2013.
    Tags
    Market operator, Reports and Papers, Roles, Business, News & Insights
    Type
    PDF