Page last updated: 19 January 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 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.
  2. 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.