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A filtered search by topic for all guidance, reports or research documents stored on the FMA website.

Found 1606 results. Displaying page 73 of 108

  4. 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.
    Tags
    Reports and Papers, Roles, Business, Market operator, News & Insights
    Type
    PDF

  5. 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.
    Tags
    Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  6. 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.
    Tags
    Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  7. 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.
    Tags
    AML/CFT, Reports and Papers, Roles, Reporting entities, Business, News & Insights
    Type
    PDF