20 February 2018

Conduct Outcomes Report

As a conduct regulator, a critical part of the FMA’s work is to look for market conduct that poses a risk to investors or consumers, and change that conduct for the better. 

This report outlines how we responded to the areas of misconduct we saw during 2017. It also gives an overview of our supervision activity for the parts of the financial services industry we regulate. In some parts, such as managed funds, that supervision has only just begun. In other areas, the regulatory regime is more mature. 

Download the Conduct Outcomes Report 2017, PDF.



Conduct Outcomes Report 2016
Investigations and Enforcement Report 2015
Investigations and Enforcement Report 2014
Investigations and Enforcement Report 2013
Investigations and Enforcement Report 2012

Find out more about our:

enforcement policy
co-operation policy
regulatory response guidelines
model litigant policy 
prosecution policy