Reports and papers

Found 90 results. Displaying page 4 of 6

1. Reports and Papers

   29 January 2019

   Life Insurer Conduct and Culture

   Findings from an FMA and RBNZ review of conduct and culture in New Zealand life insurers
2. 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.
3. 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.
4. 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.
5. 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.
6. Reports and Papers

   29 June 2018

   Switzerland recognises New Zealand audit oversight regime

   The Swiss Government has announced its recognition of the New Zealand audit oversight regime as equivalent to the Swiss standards, permitting NZ-regulated auditors to operate in Switzerland.
7. Reports and Papers

   27 June 2018

   Improving financial statements

   This monitoring report summarises the findings from our thematic review to determine the extent of improvements in the presentation of financial statements in a clear, concise and effective way, and sets out some suggestions for additional improvement.
8. Reports and Papers

   13 June 2018

   Key findings from the recent re-licensing of supervisors

   The FMA has completed a review of the licensed supervisors during the process to update their license status in 2017.
9. Reports and Papers

   24 May 2018

   New Zealand Equity Market Cleanliness for the years 2010-2016

   The assessment is based on the prevalence of abnormal price movements ahead of material price sensitive announcements -measured by the market cleanliness statistic (MCS).
10. Investor information

    Consumer

    18 April 2018

    General stocktake of fund updates

    Quarterly fund updates (fund updates) let investors know important information about their managed fund, such as how it is performing, what it is costing them, and what their fund is investing in.
11. Reports and Papers

    10 April 2018

    Product disclosure statements: understanding investors’ information needs

    The purpose of this report is to help issuers and their advisers think about how they can make disclosure information more useful for investors.
12. 20 February 2018

    Conduct Outcomes Report

    This report outlines how we responded to the areas of misconduct we saw during 2017. It also gives an overview of our supervision activity for the parts of the financial services industry we regulate.
13. Reports and Papers

    29 November 2017

    Key Audit Matters - A stock take of the first year in New Zealand

    This report provides a stock take of the New Zealand experience in the first year of adopting the revised auditor’s report, specifically focussing on the reporting of key audit matters (KAMs).
14. Reports and Papers

    15 November 2017

    Investigation into certain trading conduct of Goldman Sachs New Zealand Limited

    During our investigation into Mark Warminger, we saw trading activity by Goldman Sachs that gave cause for concern and warranted further investigation. This activity may have presented a false or misleading appearance of the price and supply of securities, which is why it came to our attention. Read more.
15. 22 September 2017

    Financial Service Providers Register report

    Read about the work we’re doing to tackle misuse of the Financial Services Provider Register (FSPR) and some useful case studies that provide examples of where we’ve taken action.