Page last updated: 28 June 2023

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 90 results. Displaying page 3 of 6

  1. Reports and Papers

    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.
  2. Auditors

    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.
  3. Reports and Papers

    24 September 2020

    Supervision Insights report

    An overview of the FMA’s supervision activities and findings from our monitoring reviews of regulated entities.
  4. Reports and Papers

    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
  5. Reports and Papers

    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.
  6. Reports and Papers

    28 January 2020

    Financial Markets Authority: Efficiency, effectiveness and baseline review

    The efficiency, effectiveness and baseline review is a report by PwC that looks at the extent to which the FMA is focused on the right activities in support of its main statutory objectives, opportunities for improving organisational performance, and options for funding FMA to support its broadening remit. Read the full report here.
  7. Reports and Papers

    13 December 2019

    Thematic review of MIS custody arrangements

    The thematic review of MIS custody arrangements identified issues around the independence of custody arrangements, and inconsistency of custodial processes, procedures and controls. Read the full report here.
  8. Investor information

    9 September 2019

    Growing New Zealand’s Capital Markets 2029

    NZX and the Financial Markets Authority (FMA) welcomed the release of the Capital Markets 2029 report, saying the 10-year vision and growth agenda would create more opportunities for Kiwis to grow personal wealth, help New Zealand businesses to prosper, and help future-proof the country’s economy.
  9. Auditors

    22 May 2019

    Audit Quality Perceptions Research

    The overall aim of this research is to inform FMA of public and industry perceptions of the audit quality in NZ and enable them to target work to increase understanding of the auditor’s role, strengthen perceived value of that role, along with knowledge of the FMA’s role of oversight and regulation of auditors.