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  2. 9 December 2020

    Ease of doing business survey report 2020

    The FMA commissioned Buzz Channel to conduct research among key stakeholders to understand the effectiveness of interactions FMA has with stakeholders and satisfaction with the service it provides. This is the 2020 report.

  3. 9 December 2020

    Overseas research reports 2020

    Research reports produced by overseas firms may be distributed by New Zealand advice firms to their retail clients. This information sheet discusses how this will be regulated under the Financial Markets Conduct Act 2013 from 15 March 2021.

  4. 30 November 2020

    Audit Quality Monitoring Report 2020

    Under the Auditor Regulation Act 2011 (AR Act), we must carry out a quality review of the systems, policies and procedures of registered audit firms and licensed auditors at least once every four years. Our reviews help improve audit quality and ensure audit opinions are reliable. This is our 2020 report.

  5. 18 November 2020

    Consumer Insights on Scams and Fraud research report 2020

    The main objectives of the research report commissioned by the FMA were to Measure the level of confidence the New Zealand public have in the New Zealand financial markets; Measure perceptions and awareness of the FMA; Explore how investors and have responded to market volatility following the COVID-19 pandemic; Capture New Zealanders’ experience of investment scams.

  6. 22 October 2020

    16th Annual Financial Markets Law Conference

    Liam Mason, director of regulation for the Financial Markets Authority, gave an address to the 16th Annual Financial Markets Law Conference in October, 2020.

  7. 1 October 2020

    COVID-19: Timetable of deferred Regulatory initiatives

    The table provides a list of the regulatory initiatives that are being deferred during the Covid-19 Alert Levels in August and September 2021. These deferrals will enable banks and other financial services firms to focus their efforts more effectively on continuing to operate smoothly and providing credit and other support to individuals and businesses.

  9. 25 September 2020

    Kiwisaver Annual Report 2020

    The report details the principal matters transacted under the Act during the year ended 30 June 2020, and contains the sixth annual summary of the statistical returns, required to be lodged by KiwiSaver schemes under section 125 of the Act.

  10. 23 September 2020

    Supervision Insights Report 2020

    An overview of the FMA’s supervision activities and findings from our monitoring reviews of regulated entities. This is our 2020 report.

  11. 8 September 2020

    COVID 19 response insights 2020

    This information sheet summarises the FMA’s actions to manage the impacts of the COVID-19 crisis up until 31 August, and highlights useful examples we have seen from market participants. It will help financial services entities to understand the FMA’s approach and consider ways to improve their own response as the crisis continues.

  12. 21 August 2020

    MyFiduciary Report 2020

    This report was commissioned by the Financial Markets Authority (FMA). In the report we examine how active or passive each KiwiSaver Provider is. We also examine whether investment management fees differ between active and passive approaches.

  13. 26 July 2020

    Our immediate priorities during the COVID 19 response and recovery

    This information sheet outlines the FMA’s immediate priorities as New Zealand continues to respond to the COVID-19 pandemic, showing how we will support that response and recovery, while also ensuring financial service providers support their customers and investors. The information sheet was published in July 2020 and updated in June 2021.

  14. 1 July 2020

    Derivatives Issuer Sector Risk Assessment

    This sector risk assessment summarises the key risks posed by licensed Derivatives Issuers (DIs) to the FMA’s objective of promoting fair, efficient and transparent financial markets. It is based on a self-assessment completed by DIs, as well as our interactions with DIs and their clients since FMC Act licensing began.

  15. 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.