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1. 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.

2. 1 June 2012

   Auditor regulation and oversight plan 2012 2015

   Audits of FMC reporting entities’ financial statements are designed to increase investor confidence. One of the ways we ensure these audits are done well is by reviewing audits at registered audit firms. This plan is for the 2012-2015 period

3. 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.

4. 1 October 2011

   KiwiSaver Report 2011

   The report details the principal matters transacted under the Act during the year ended 30 June 2011, and contains the sixth annual summary of the statistical returns, required to be lodged by KiwiSaver schemes under section 125 of the Act.

5. 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.

6. 1 March 2011

   AML/CFT Sector Risk Assessment 2011

   Our Sector Risk Assessment (SRA) helps us and the REs we supervise understand the risks of money-laundering (ML) and terrorism financing (TF) in each sector.

7. 1 December 2010

   Superannuation schemes report 2010

   This report was issued by the Government Actuary and presented to the House of Representatives in 2010 pursuant to Section 194 of the KiwiSaver Act 2006.

8. 1 July 2010

   Review of Corporate Governance Disclosure by Selected Issuers

   This 2010 report presents the findings of the Securities Commission’s review of corporate governance reporting. The purpose of this report is to inform governing bodies of our findings so that they can reflect critically on their governance practices and disclosures. In so doing, we aim to promote high standards of corporate governance by issuers and ultimately improve confidence in New Zealand’s capital markets. The report was published in 2010.