Page last updated: 20 October 2022

Reports and papers

This section contains our reports and papers. For corporate publications, such as the annual report and statement of intent please see our corporate publications page

For guides, information sheets and legal guidance please see our guidance library.

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Found 82 results. Displaying page 2 of 6

  1. Banking

    24 September 2020

    Supervision Insights report

    An overview of the FMA’s supervision activities and findings from our monitoring reviews of regulated entities. The insights in this report tell us that large parts of the industry are working hard to move towards the expectations we and other regulators have articulated. They also give a clear message of problem areas within the industry and how we expect these to be improved. Most of the issues we identified were the result of a casual or careless approach to conduct and compliance, rather than being deliberate misconduct. However, left unchecked, this disregard can escalate into poor outcomes for customers, in a way that may not be immediately obvious. We want there to be no doubt that providers will be culpable if they fail to take appropriate care of customers and their outcomes. Download the full report on this page.
  2. 24 July 2020

    Derivatives Issuer Sector Risk Assessment

    This sector risk assessment summarises the key risks posed by licensed Derivatives Issuers (DIs) to the FMA’s objective of promoting fair, efficient and transparent financial markets. It is based on a self-assessment completed by DIs, as well as our interactions with DIs and their clients since FMC Act licensing began. This information will be useful to help licensed DIs understand our focus areas and ensure they comply with our expectations and best practice.