Back

Search results

Found 124 results. Displaying page 1 of 9

  1. 20 February 2017

    Conduct Outcomes Report 2016

    This report highlights the key issues and actions from our enforcement, supervision and preventative activities in the period 1 July 2015 to 30 June 2016.

  2. 13 December 2016

    ASX 24 review 2016

    Australian Securities Exchange Limited (ASX 24) is licensed to operate the ASX 24 derivatives market (derivatives market) in New Zealand. We are required to report at least once every two years on how well ASX 24 is meeting its licensed market operator obligations. This review period covers 1 July 2014 to 30 June 2016. This is our first review of ASX 24 since its licence came into effect on 1 December 2014.

  4. 1 October 2016

    KiwiSaver Annual Report 2016

    We are required to report each year on our main KiwiSaver activities. This report covers the period from 1 July 2015 to 30 June 2016, and contains a summary of the statistical returns required to be lodged by KiwiSaver schemes as at 31 March 2016.

  5. 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.

  6. 1 June 2016

    Investor Confidence Research 2016

    This is the fourth year that FMA has carried out investor research measuring attitudes towards, and investment in New Zealand’s financial markets.

  7. 12 January 2016

    NZMDT Market Rules 2016

    This notice allows for the NZX to replace the NZ Markets Disciolinary Tribunal Rules date 16 April 2015 with the NZMDT Rules provided to the FMA on 11 Nov 2015

  9. 6 May 2024

    Statement of Intent 2013 - 2016

    Our SOI has a four-year outlook and follows the SRO by identifying the performance measures we will use to mark our progress towards achieving our regulatory objectives. This is our 2013 - 2016 report.

  10. 12 January 2022

    Statement of Performance Expectations 2016

    The Statement of Performance Expectations (SPE) is one of two documents that set out how we measure our future performance and report on the progress of that performance against our performance targets. This is our 2016 report.

  11. 9 May 2017

    IMF 2016 review of NZ

    The FSAP is a comprehensive assessment of the country’s financial sector and was coordinated by the Reserve Bank of New Zealand (RBNZ) on behalf of the members of New Zealand’s Council of Financial Regulators, which includes the FMA, the Treasury and MBIE. New Zealand’s prudential and securities regulation was tested against international principles and practices.

  12. 12 December 2016

    CPA accredited body report 2016

    The Auditor Regulation Act 2011 (the Act) requires us to monitor and ensure the audit regulatory systems and processes used by accredited bodies are adequate and effective. This report contains the findings of our monitoring assessment of CPA Australia for the period 1 July 2015 to 30 June 2016.

  13. 12 December 2016

    NZICA accredited body report 2016

    The Auditor Regulation Act 2011 (the Act) requires us to monitor and ensure the audit regulatory systems and processes used by accredited bodies are adequate and effective. This report contains the findings of our monitoring assessment of the New Zealand Institute of Chartered Accountants (NZICA) for the period 1 July 2015 to 30 June 2016.

  14. 8 December 2016

    AML/CFT Monitoring Report 2016

    This report summarises our monitoring activities to help firms and individuals better understand our expectations and how they can improve their systems and processes, to comply with the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (the Act). This report covers the period from 1 July 2015 to 30 June 2016. It was our third year of monitoring compliance with the Act.

  15. 16 September 2016

    FMA Annual Report 2016 - highlights

    Our annual reports detail the results we have achieved against our stated intentions. These results then feedback into our next cycle of direction-setting, planning, implementation and review. Our annual reports are a great way to review our operational highlights for each financial year. This is the short version of the 2016 report.