Reports and papers

Found 90 results. Displaying page 2 of 6

1. Reports and Papers

   6 April 2023

   Peer-to-peer and crowdfunding: sector snapshot

   This report is a 'snapshot' of peer-to-peer lending (P2P) and crowdfunding activity in New Zealand
2. 31 March 2023

   KiwiSaver Tracker

   The FMA no longer publishes the KiwiSaver Tracker. We recommend instead going to Sorted and using the Fundfinder tool.
3. Reports and Papers

   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.
4. 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.
5. Auditors

   Roles

   Business

   Accredited bodies

   8 December 2023

   Accredited Body Report - CPA Australia

   CPA Australia Accredited Body Report contains the findings of our monitoring assessment of CPA Australia. Read more.
6. Reports and Papers

   8 December 2023

   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.
7. Auditors

   Roles

   Business

   24 November 2023

   Audit Quality Monitoring Report

   The Audit Quality Monitoring Report 2023 emphasises that high-quality audits are vital to ensuring investors can make active choices based on clear, concise, and effective information.
8. Reports and Papers

   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.
9. 21 September 2022

   Consolidated managed fund data

   Quarterly files with consolidated data for non-KiwiSaver managed funds.
10. Reports and Papers

    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)
11. Reports and Papers

    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 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.
12. 7 December 2021

    AML/CFT - Sector Risk Assessment

    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.
13. 30 September 2021

    AML/CFT Monitoring Report

    AML/CFT Monitoring Report summarises the FMA's monitoring activities to help firms and individuals better understand our expectations.
14. 30 September 2021

    AML/CFT Monitoring Report

    AML/CFT Monitoring Report summarises the FMA's monitoring activities to help firms and individuals better understand our expectations.
15. Reports and Papers

    23 September 2021

    Review of credit card repayment insurance products

    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.