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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.
Quarterly files with consolidated data for non-KiwiSaver managed funds.
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)
The FMA’s 2021 guidance on managed fund fees and value for money introduces an expectation for Managed Investment Scheme (MIS) managers to carry out regular reviews of scheme fees and whether customers are receiving value for money.
Our AML/CFT SRA 2021 is an important document that provides general information and specific examples to assist reporting entities (REs) in the ten sectors we supervise for anti-money laundering and countering the financing of terrorism (AML/CFT). It will assist REs to prepare and review their individual assessments of the risks of AML/CFT under sections 58 and 59 of the AML/CFT Act.
AML/CFT Monitoring Report summarises the FMA's monitoring activities to help firms and individuals better understand our expectations.
The FMA has conducted a review of credit card repayment insurance products to gain a better understanding of providers’ practices, and the product’s suitability for consumers. We advise anyone who has purchased this sort of insurance to read the report.
Findings from the FMA’s evaluation of New Zealand fire and general insurers’ responses to the 2019 Life Insurer Conduct and Culture review
This report provides a summary of the key findings and insights from the FMA’s monitoring review of financial reporting filing obligations. Also provides guidance and sets expectations for future reporting periods.
The report is a summary of responses received from our survey of licensed financial services firms in September 2020 regarding their readiness for negative interest rates.
Findings from the FMA’s targeted review of whether NZX is meeting its licensed market operator obligations
An auditor/audit firm must meet the minimum standards and conditions as prescribed under section 32 of the Auditor Regulation Act 2011. Read more about these standards and conditions.
The thematic review of MIS custody arrangements identified issues around the independence of custody arrangements, and inconsistency of custodial processes, procedures and controls. Read the full report here.
NZX and the Financial Markets Authority (FMA) welcomed the release of the Capital Markets 2029 report, saying the 10-year vision and growth agenda would create more opportunities for Kiwis to grow personal wealth, help New Zealand businesses to prosper, and help future-proof the country’s economy.
Findings from an FMA and RBNZ review of conduct and culture in New Zealand life insurers