Reports and papers

Found 84 results. Displaying page 1 of 6

1. Managed investment schemes

   19 January 2023

   Managed Investment Scheme – Sector Risk Assessment

   This sector risk assessment (SRA) identifies some areas in the Managed Investment Schemes (MIS) sector the FMA considers to be higher risk.

   https://www.fma.govt.nz/library/reports-and-papers/mis-sector-risk-assessment/

2. 15 December 2022

   ASX 24 review report

   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.

   https://www.fma.govt.nz/library/reports-and-papers/asx-24-review/

3. 15 December 2022

   SGX-DT review report

   Findings from the FMA’s reviews of how well Singapore Exchange Derivatives Trading Limited (SGX-DT) is meeting its market operator obligations under the FMC Act 2013.

   https://www.fma.govt.nz/library/reports-and-papers/sgx-dt-review/

4. Auditors

   Roles

   Business

   Accredited bodies

   2 December 2022

   Accredited Body Report – New Zealand Institute of Chartered Accountants

   NZICA Accredited Body Report contains the findings of our monitoring assessment of the New Zealand Institute of Chartered Accountants (NZICA). Read more.

   https://www.fma.govt.nz/library/reports-and-papers/accredited-body-report-new-zealand-institute-of-chartered-accountants/

5. Auditors

   Roles

   Business

   Accredited bodies

   2 December 2022

   Accredited Body Report - CPA Australia

   CPA Australia Accredited Body Report contains the findings of our monitoring assessment of CPA Australia. Read more.

   https://www.fma.govt.nz/library/reports-and-papers/accredited-body-report-cpa-australia/

6. Auditors

   Roles

   Business

   16 November 2022

   Audit Quality Monitoring Report

   We report each year on the outcomes of the audit quality reviews performed on the systems, policies and procedures of registered audit firms and licensed auditors in the preceding financial year. The report also sets out the FMA’s expectations for how directors and auditors of financial statements can improve and maintain audit quality.

   https://www.fma.govt.nz/library/reports-and-papers/audit-quality-review-report/

7. 15 November 2022

   KiwiSaver Tracker

   We consolidate information from KiwiSaver providers in two ways to support analysis, discussion and debate on the relationship between investment risk, returns and fees. View KiwiSaver Fund Updates from Disclose along with a visualisation of the data with the KiwiSaver Tracker on this page.

   https://www.fma.govt.nz/library/reports-and-papers/kiwisaver-tracker/

8. Business

   20 October 2022

   Thematic review of use of the wholesale investor exclusion

   Findings from the FMA’s thematic review of wholesale offers of financial products, along with guidance for offerors and those who provide confirmation for eligible investor certificates.

   https://www.fma.govt.nz/library/reports-and-papers/thematic-wholesale-investor/

9. 4 October 2022

   KiwiSaver Annual Report

   View the KiwiSaver Annual Report 2022 as well as the previous reports on this page.

   https://www.fma.govt.nz/library/reports-and-papers/kiwisaver-report/

10. 29 September 2022

    Catalist market operator obligations review

    Findings from the FMA's annual review of how well Catalist is meeting its licensed market operator obligations.

    https://www.fma.govt.nz/library/reports-and-papers/catalist-market-operator-obligations-review/

11. 21 September 2022

    Consolidated managed fund data

    Quarterly files with consolidated data for non-KiwiSaver managed funds.

    https://www.fma.govt.nz/library/reports-and-papers/managed-fund-data/

12. 28 July 2022

    Integrated financial products: Review of managed fund documentation

    Findings from a Financial Markets Authority review of the effectiveness of disclosure information from a sample of managed investment funds labelled or marketed as being integrated financial products (e.g. sustainable, ethical, green)

    https://www.fma.govt.nz/library/reports-and-papers/integrated-financial-products-review-of-managed-fund-documentation/

13. 28 June 2022

    NZX Review Report

    NZX Review report outlines our annual review of how well NZX is meeting its statutory obligations. Read reports here.

    https://www.fma.govt.nz/library/reports-and-papers/nzx-review/

14. 18 May 2022

    Findings from MIS manager Value For Money self-assessment tool pilot

    The FMA’s 2021 guidance on managed fund fees and value for money introduced an expectation for Managed Investment Scheme (MIS) managers to carry out regular reviews of scheme fees and whether customers are receiving value for money.

    https://www.fma.govt.nz/library/reports-and-papers/findings-value-for-money-self-assessment/

15. 31 March 2022

    Peer-to-peer and crowdfunding: sector snapshot

    This report is a 'snapshot' of peer-to-peer lending (P2P) and crowdfunding activity in New Zealand

    https://www.fma.govt.nz/library/reports-and-papers/peer-to-peer-and-crowdfunding-sector-snapshot/