Reports and papers

Found 44 results. Displaying page 2 of 3

1. Reports and Papers

   20 June 2024

   Auditor regulation and oversight plan

   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.
2. Reports and Papers

   30 May 2024

   Financial Advice Provider Monitoring Insights

   Findings from the FMA’s supervision activities and monitoring of Class 1 and 2 licensed financial advice providers
3. Reports and Papers

   30 October 2023

   Key findings from the 2022 re-licensing of Supervisors

   Report on findings and areas for improvement identified by the FMA’s 2022 relicensing of Supervisors.
4. Reports and Papers

   5 October 2023

   Lessons learned from the Barry Kloogh Ponzi scheme

   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.
5. Reports and Papers

   18 September 2023

   Supporting customers in financial difficulty

   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.
6. Reports and Papers

   5 September 2023

   Governance Thematic Review

   A joint RBNZ and FMA thematic review examining the policies, processes and operational practices of boards of financial institutions in key areas of governance.
7. Reports and Papers

   16 June 2023

   Ice Futures US review

   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.
8. 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
9. 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.
10. 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.
11. Reports and Papers

    21 September 2022

    Consolidated managed fund data

    Quarterly files with consolidated data for non-KiwiSaver managed funds.
12. 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)
13. 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.
14. Reports and Papers

    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.
15. Reports and Papers

    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.