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1. 6 December 2021

   AML/CFT Sector Risk Assessment 2021

   Our Sector Risk Assessment (SRA) helps us and the Reporting Entities we supervise understand the risks of money-laundering (ML) and terrorism financing (TF) in each sector. This SRA replaces our SRA published in 2017.

2. 1 December 2021

   Accredited Body Report - CPA Australia 2021

   Findings from the FMA’s review of the adequacy and effectiveness of CPA Australia’s audit regulatory systems for the period 1 July 2020 to 30 June 2021

3. 24 September 2021

   KiwiSaver Annual Report 2021

   The report details the principal matters transacted under the Act during the year ended 30 June 2021, and contains the sixth annual summary of the statistical returns, required to be lodged by KiwiSaver schemes under section 125 of the Act.

4. 7 September 2021

   COVID-19

   The FMA regularly posts information and updates relevant to the financial industry during periods of COVID-19. Please check these pages for content that may be relevant to you.

5. 6 September 2021

   COVID19 - Vaccination Information privacy notice for FMA Visitors

   The FMA’s approach to managing the COVID-19 pandemic is to protect the health, safety and welfare of our staff, their families and whānau, our visitors and to maintain our ability to continue delivering services.

6. 26 July 2021

   Regulators’ discussion on Conduct of Financial Institutions Amendment Bill, Financial Markets Law Conference 2021

   Regulators’ discussion on Conduct of Financial Institutions Amendment Bill, Financial Markets Law Conference, Auckland, 26 July 2021

7. 6 July 2021

   Investor Confidence Report 2021

   This annual report is intended to measure the level of confidence the New Zealand public have in the New Zealand financial markets along with perceptions and awareness of the FMA. The research is conducted by an exernal provider. This is the Investor confidence survey results published in 2021.

8. 29 June 2021

   ICE Futures Europe general obligations review 2021

   The UK Financial Conduct Authority (FCA) is IFEU’s primary regulator. Our review therefore focuses on whether the FCA was satisfied with IFEU’s compliance during the review period. 2021 ICE Futures Europe general obligations review

9. 29 June 2021

   ICE Futures US general obligations review 2021

   The US Commodity Futures Trading Commission (CFTC) is IFUS’s primary regulator. Our review therefore focuses on whether the CFTC was satisfied with IFUS’s compliance during the review period. 2019-2020 ICE Futures US general obligations review.

10. 28 June 2021

    NZX Market Operator Obligations Review 2021

    Findings from the FMA's review of how well NZX is meeting its licensed market operator obligations, for the period 1 January to 31 December 2020

11. 24 June 2021

    Statement of Performance Expectations 2021 to 2022

    Our Statement of Performance Expectations outlines our short-term (annual) performance targets. It should be read in conjunction with our Statement of Intent. This is the 2021 to 2022 report.

12. 16 June 2021

    KiwiSaver switching behaviour 150621

    The aim of this research was to identify how any switches and other transactions took place between Febuary and April 2020 at the height of the market volatility associated with COVID-19

13. 14 June 2021

    Auditor Regulation and Oversight Plan 2021-2024

    This report summarises our plan relating to auditor oversight, as part of our obligation under section 52 of the Auditor Regulation Act 2011. It includes small changes to our previous plan, but overall our focus areas remain unchanged.

14. 17 May 2021

    Negative Interest Rate report 2021

    This report is for FMA-licensed entities and their key stakeholders. It gives feedback on key findings of the FMA’s September 2020 survey on industry readiness for negative interest rates.

15. 13 April 2021

    Managed fund fees and value for money - submissions report

    In December 2020 we published a consultation paper seeking input from KiwiSaver managers, KiwiSaver supervisors, other MIS managers, and other interested parties, on the regulatory approach to the statutory requirement that KiwiSaver fees must not be unreasonable and the related overarching statutory duties. This report summarises the feedback we received.