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  1. 27 June 2011

    NZX Obligations Review 2011

    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 2011.
    Tags
    Market operator, Reports and Papers, Roles, Business, News & Insights
    Type
    PDF

  2. 30 June 2020

    NZX Obligations Review 2020

    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 2020.
    Tags
    Market operator, Monitoring, Roles, Reports and Papers, Business, News & Insights
    Type
    PDF

  3. 28 June 2018

    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
    Reports and Papers, Roles, Monitoring, Business, Market operator, News & Insights
    Type
    PDF

  4. 29 June 2016

    NZX Obligations Review 2016

    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 2016.
    Tags
    Reports and Papers, Market operator, Roles, Monitoring, Business, News & Insights
    Type
    PDF

  5. 28 June 2018

    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
    Reports and Papers, Roles, Monitoring, Business, Market operator, News & Insights
    Type
    PDF

  6. 30 October 2013

    Disclosure documents need to improve

    A report by the Financial Markets Authority (FMA) into prospectuses and investment statements (disclosure documents) highlights the need for issuers to lift their game.
    Tags
    Media release, News & Insights
    Type
    Page

  7. 18 December 2019

    BZ Finance Invest

    It could be involved in a scam. We have received a report about the unreasonable withholding of client funds by bzfinanceinvest.com.
    Tags
    Suspected scam, Scams
    Type
    Page

  9. 23 November 2018

    Peer-to-peer lending/crowdfunding 2018 data published

    The FMA today published its second statistical report on peer to peer lending and crowd funding in New Zealand. The industry is required to submit an annual information return each year.
    Tags
    Crowdfunding providers, Media release, Roles, Business, News & Insights, Peer-to-peer lending service providers
    Type
    Page

  10. 9 October 2018

    KiwiSaver nears $50 billion in 2018

    KiwiSaver continues to grow steadily according to the FMA’s 2018 KiwiSaver report.
    Tags
    KiwiSaver providers, Media release, Roles, Business, Managed investment schemes, News & Insights
    Type
    Page

  11. 30 June 2014

    Going Concern disclosures in financial statements

    The purpose of this report is to inform market participants of the findings of our review and highlight areas of concern.
    Tags
    Auditors, Directors, Roles, Reports and Papers, Business
    Type
    Page, Financial reporting, Report

  12. 30 October 2013

    Clear, Concise and Effective Disclosure?

    In this report, we outline our findings and observations to help issuers and their advisers understand our expectations of ‘clear, concise and effective’ disclosure. We seek disclosure that aids, rather than hinders, investor decision making.
    Tags
    Reports and Papers, Offer disclosure for equity and debt offers, Roles, Business, News & Insights
    Type
    Page, Report

  13. 17 June 2013

    Monitoring of KiwiSaver Offer Documents

    This report outlines to issuers, their directors and advisers, our views and observations on current market practices.
    Tags
    Roles, Offer disclosure for equity and debt offers, Reports and Papers, KiwiSaver providers, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page, Report

  14. 27 June 2018

    Improving financial statements

    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
    Directors, Roles, Reports and Papers, Business, News & Insights
    Type
    Page, Financial reporting, Report

  15. 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