Reports and papers

Found 82 results. Displaying page 2 of 6

1. Insurance

   Consumer

   22 July 2021

   Insurance conduct and culture: Fire and general insurers update

   Findings from the FMA’s evaluation of New Zealand fire and general insurers’ responses to the 2019 Life Insurer Conduct and Culture review

   https://www.fma.govt.nz/library/reports-and-papers/fire-and-general-insurers-update/

2. 2 July 2021

   Filing of financial statements: review findings and guidance

   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.

   https://www.fma.govt.nz/library/reports-and-papers/filing-of-financial-statements-review-findings-and-guidance/

3. 29 June 2021

   Ice Futures Europe review

   Ice Futures Europe (IFEU) is licensed to operate the IFEU derivatives market (the derivatives market) in New Zealand. We are required to report, at least once every two years, on how well IFEU is meeting its obligations as a licensed market operator.

   https://www.fma.govt.nz/library/reports-and-papers/ice-futures-europe-review/

4. 29 June 2021

   Ice Futures US review

   This is our first review of IFUS since it became licensed on 1 December 2014.

   https://www.fma.govt.nz/library/reports-and-papers/ice-futures-us-review/

5. 28 June 2021

   A guide to talking about money online

   Talking about money or investing can cross over into providing financial advice. This is a guide for consumers, social media influencers, bloggers and anyone wanting to discuss money matters online.

   https://www.fma.govt.nz/library/reports-and-papers/guide-to-talking-about-money-online/

6. Auditors

   Roles

   Business

   14 June 2021

   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. It may also be of interest to issuers, investors and their advisers.

   https://www.fma.govt.nz/library/reports-and-papers/auditor-regulation-and-oversight-plan/

7. Banking

   Business

   17 May 2021

   Negative Interest Rate report

   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.

   https://www.fma.govt.nz/library/reports-and-papers/negative-interest-rate-report/

8. 26 March 2021

   Common sense for your dollars and cents

   New rules around financial advice came into play in March, 2021. Read more about the changes and why they are good news for everyday New Zealanders.

   https://www.fma.govt.nz/library/reports-and-papers/common-sense-for-your-dollars-and-cents/

9. 28 January 2021

   Market Operator Obligations Targeted Review – NZX

   Findings from the FMA’s targeted review of whether NZX is meeting its licensed market operator obligations

   https://www.fma.govt.nz/library/reports-and-papers/moo-targeted-review-nzx/

10. 26 January 2021

    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.

    https://www.fma.govt.nz/library/reports-and-papers/asx-24-review/

11. Auditors

    Roles

    Business

    4 December 2020

    ARA Prescribed Minimum Standards and Conditions

    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.

    https://www.fma.govt.nz/library/reports-and-papers/ara-prescribed-minimum-standards-and-conditions/

12. Banking

    Insurance

    Business

    Consumer

    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.

    https://www.fma.govt.nz/library/reports-and-papers/supervision-insights-report/

13. 24 August 2020

    MyFiduciary report into active and passive management of KiwiSaver funds

    The FMA commissioned MyFiduciary to complete a report into the investment management styles of KiwiSaver providers. The report examines how active or passive each KiwiSaver Provider is. It also examines whether investment management fees differ between active and passive approaches

    https://www.fma.govt.nz/library/reports-and-papers/myfiduciary-report-active-passive-management-kiwisaver/

14. 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.

    https://www.fma.govt.nz/library/reports-and-papers/derivatives-issuer-sector-risk-assessment/

15. Auditors

    Roles

    Business

    6 May 2020

    Enhanced auditor reporting: A review of the third year of the revised auditor’s report

    Enhanced auditor reporting is a joint FMA and XRB report that looks at the evolution of trends in key audit matter reporting in the three years since the revised auditor’s report was introduced. Read the full report here.

    https://www.fma.govt.nz/library/reports-and-papers/enhanced-auditor-reporting/