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Insights from the FMA’s review of fair conduct programmes received from financial institutions ahead of the commencement of the Conduct of Financial Institutuions (CoFI) regime
The Financial Advice Providers Industry snapshot is derived from the 2024 FAP regulatory returns data and provides valuable insights into what types of products are being advised on as well as the way customers are receiving that advice.
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.
CPA Australia Accredited Body Report contains the findings of our monitoring assessment of CPA Australia. Read more.
NZICA Accredited Body Report contains the findings of our monitoring assessment of the New Zealand Institute of Chartered Accountants (NZICA). Read more.
This report provides key insights from reviews of 70 climate statements for reporting periods ending in December 2023, January 2024, and March 2024. It evaluates compliance with New Zealand's Climate Standards and the Financial Markets Conduct Act, offering feedback to improve future disclosures. The report highlights areas for improvement, such as balancing information disclosure, presenting fair and coherent disclosures, and explaining climate-related risks and opportunities. It encourages Climate Reporting Entities (CREs) to enhance the quality of their climate statements and provides guidance on scenario analysis and GHG emissions targets.
Insights from our 2022-2024 monitoring of the Discretionary Investment Management Service (DIMS) sector, identifying some key risks to investors and how we would like to see these risks managed by those who operate or advise on DIMS.
Insights from the FMA’s recent supervision of disclosure for funds that claim to have ethical features.
This plan will help licensed auditors, registered audit firms and accredited bodies to understand how FMA will approach auditor regulation. View the 2024-2027 report on this page as well as previous reports.
Findings from the FMA’s supervision activities and monitoring of Class 1 and 2 licensed financial advice providers
Report on findings and areas for improvement identified by the FMA’s 2022 relicensing of Supervisors.
The FMA has issued a report following the fraudulent activities of Barry Kloogh. This report records the FMA’s views and findings on the conduct that was the subject of these enquiries, the law that applies to that conduct, and our actions as a result of our findings.
The Commerce Commission and the Financial Markets Authority have collaborated on a joint message that outlines ways that financial service providers (including consumer lenders) can support customers who are experiencing financial difficulty.
A joint RBNZ and FMA thematic review examining the policies, processes and operational practices of boards of financial institutions in key areas of governance.
The FMA was required to report, at least once every two years, on how well ICE Futures U.S., Inc. (IFUS) was meeting its obligations as a licensed market operator. View all reports on this page.