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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.
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Findings from the FMA’s evaluation of New Zealand fire and general insurers’ responses to the 2019 Life Insurer Conduct and Culture review
This report provides a summary of the key findings and insights from the FMA’s monitoring review of financial reporting filing obligations. Also provides guidance and sets expectations for future reporting periods.
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.
Findings from the FMA’s targeted review of whether NZX is meeting its licensed market operator obligations
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.
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.
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.
Findings from an FMA and RBNZ review of conduct and culture in New Zealand life insurers
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.
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.
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.
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.
This report details the results of stakeholder research conducted around the time of FMA's establishment in 2011.