Reports and papers

Found 83 results. Displaying page 3 of 6

1. 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/

2. 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/

3. 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.

   https://www.fma.govt.nz/library/reports-and-papers/fma-efficiency-effectiveness-and-baseline-review/

4. 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.

   https://www.fma.govt.nz/library/reports-and-papers/mis-custody-arrangements/

5. Investor information

   Consumer

   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.

   https://www.fma.govt.nz/library/reports-and-papers/growing-new-zealands-capital-markets-2029/

6. 28 August 2019

   Impact of behavioural insights on KiwiSaver enrolment communications

   Impact of behavioural insights on KiwiSaver enrolment communications report is for KiwiSaver providers and providers of any Managed Investment Scheme. It will also be of interest to behavioural insight researchers.

   https://www.fma.govt.nz/library/reports-and-papers/impact-of-behavioural-insights/

7. Auditors

   Roles

   Business

   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.

   https://www.fma.govt.nz/library/reports-and-papers/audit-quality-perceptions-research/

8. Auditors

   Roles

   Business

   27 March 2019

   PCC decision - Richard Owen Dey and Michael Derek Wood

   The Professional Conduct Committee of the Chartered Accountants Australia New Zealand (CA ANZ) has published its findings in relation to Richard Owen Dey and Michael Derek Wood. Read more.

   https://www.fma.govt.nz/library/reports-and-papers/pcc-decision/

9. 27 February 2019

   Using behavioural insights to improve KiwiSaver outcomes

   KiwiSaver behavioural insights 2019 report uses behavioural insights to improve KiwiSaver outcomes. Read the report here.

   https://www.fma.govt.nz/library/reports-and-papers/kiwisaver-behavioural-insights/

10. 29 January 2019

    Life Insurer Conduct and Culture

    Findings from an FMA and RBNZ review of conduct and culture in New Zealand life insurers

    https://www.fma.govt.nz/library/reports-and-papers/life-insurer-conduct-and-culture/

11. 30 November 2018

    Investigation of potential disclosure breaches during the failure of Wynyard Group Limited

    Wynyard investigation report 2018 sets out the Financial Markets Authority’s conclusions following an investigation into the compliance of Wynyard Group Limited with its continuous disclosure and fair dealing obligations. Read more.

    https://www.fma.govt.nz/library/reports-and-papers/investigation-of-potential-disclosure-breaches-during-the-failure-of-wynyard-group-limited/

12. 15 November 2018

    Bank Incentive Structures

    The Bank Incentive Structures review report was signalled in the Financial Market Authority’s (FMA) Annual Corporate Plan 2017/18, and aligns with our strategic priorities of Sales and advice, Conflicted conduct, and Governance and culture.

    https://www.fma.govt.nz/library/reports-and-papers/bank-incentive-structures/

13. 5 November 2018

    Bank Conduct and Culture Review

    The Bank Conduct and Culture Review is a report that documents the findings from an FMA and RBNZ review of the conduct and culture in New Zealand retail banks.

    https://www.fma.govt.nz/library/reports-and-papers/bank-conduct-and-culture-review/

14. Investor information

    Surveys

    Consumer

    28 September 2018

    Consumer views of financial providers' conduct

    The aim of the research is to help the FMA understand consumer experience of the conduct of (and communications) from financial service providers.

    https://www.fma.govt.nz/library/reports-and-papers/consumer-views-of-financial-providers-conduct/

15. 18 July 2018

    Conflicted conduct in the insurance industry

    Our latest review on conflicted conduct in the insurance industry focuses on how QFEs mitigate risks through their operational policies and procedures when selling replacement policies. Our previous work focuses on RFAa and AFAs.

    https://www.fma.govt.nz/library/reports-and-papers/life-insurance-replacement-business/