Reports and papers

Found 84 results. Displaying page 4 of 6

1. 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.
2. 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.
3. 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.
4. 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.
5. 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).
6. 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.
7. 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.
8. 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.
9. 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).
10. 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.
11. 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.
12. 8 June 2017

    Encouraging fund choice in KiwiSaver

    This report is for KiwiSaver providers and for providers of any Managed Investment Scheme. It will also be of interest to behavioural insight researchers. This report describes the results of a behavioural insights randomised control trial.
13. Reports and Papers

    24 May 2017

    Licensing overview report

    What we found and what you need to know to meet your licence obligations.with the FMA.
14. Reports and Papers

    24 May 2017

    Licensing overview report 2017

    This report aims to Outline how we applied a flexible approach to applications and explain how the minimum standards and FMC Act eligibility criteria fit together, plus more.
15. 1 December 2016

    IMF 2016 review of NZ

    International Monetary Fund (IMF) visited New Zealand to conduct a Financial Sector Assessment Program (FSAP) of this country’s financial system. The goal of FSAP assessments is to gauge the stability of the country’s financial sector, to identify any potential sources of systemic risk and to assess its potential contribution to growth and development. Read more.