Reports and papers

Found 77 results. Displaying page 1 of 4

1. • Research papers

   28 January 2020

   Financial Markets Authority: Efficiency, effectiveness and baseline review

   This report by PwC 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.

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

2. • KiwiSaver and Superannuation

   17 December 2019

   Compare KiwiSaver data

   The Kiwisaver Tracker shows the relationship between KiwiSaver funds and fees and returns for at least one year. It also shows the risk and benchmark information for each fund and fee and return information by fund type and return period.

   https://www.fma.govt.nz/news-and-resources/reports-and-papers/compare-kiwisaver-data/

3. • KiwiSaver and Superannuation
   • Monitoring and compliance
   • Thematic review

   13 December 2019

   Thematic review of MIS custody arrangements

   The review identified issues around the independence of custody arrangements, and inconsistency of custodial processes, procedures and controls.

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

4. • Statutory reports
   • Auditors

   12 December 2019

   Accredited Body Report – New Zealand Institute of Chartered Accountants

   NZICA Accredited Body Report contains the findings of our monitoring assessment of the New Zealand Institute of Chartered Accountants (NZICA). Read more.

   https://www.fma.govt.nz/news-and-resources/reports-and-papers/accredited-body-report-new-zealand-institute-of-chartered-accountants/

5. • Statutory reports
   • Auditors

   12 December 2019

   Accredited Body Report - CPA Australia

   CPA Australia Accredited Body Report contains the findings of our monitoring assessment of CPA Australia. Read more.

   https://www.fma.govt.nz/news-and-resources/reports-and-papers/accredited-body-report-cpa-australia/

6. • Monitoring and compliance

   5 December 2019

   Peer-to-peer and crowdfunding: sector snapshot

   This report is a 'snapshot' of peer-to-peer lending (P2P) and crowdfunding activity in New Zealand for the year ended 30 June 2019.

   https://www.fma.govt.nz/news-and-resources/reports-and-papers/peer-to-peer-and-crowdfunding-sector-snapshot/

7. • Statutory reports
   • Auditors

   18 November 2019

   Audit Quality Monitoring Report

   In this year’s report, we highlight our expectations of directors and auditors of financial statements, and the key focus areas our stakeholders need to be aware of.

   https://www.fma.govt.nz/news-and-resources/reports-and-papers/audit-quality-review-report/

8. • Surveys

   13 November 2019

   Ease of doing business survey

   This research helps us to better understand the impact that our work has on market participants and stakeholders. It informs the way we work and our focus on continuous improvement in our effectiveness and efficiency.

   https://www.fma.govt.nz/news-and-resources/reports-and-papers/ease-of-doing-business-survey/

9. • KiwiSaver and Superannuation
   • Statutory reports

   10 October 2019

   KiwiSaver Report

   Each year we publish a KiwiSaver Report that summarises our activities as a regulator relating to KiwiSaver during the reporting period. Find here the latest report as well as the previous reports.

   https://www.fma.govt.nz/news-and-resources/reports-and-papers/kiwisaver-report/

10. • KiwiSaver and Superannuation

    8 October 2019

    Consolidated managed fund data

    Quarterly files (from 31 March 2018) with consolidated data for non-KiwiSaver managed funds.

    https://www.fma.govt.nz/news-and-resources/reports-and-papers/managed-fund-data/

11. • Financial market infrastructure
    • Financial reporting
    • Investor information
    • Issuers and offerers
    • KiwiSaver and Superannuation
    • Research papers
    • White papers
    • Corporate governance

    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/news-and-resources/reports-and-papers/growing-new-zealands-capital-markets-2029/

12. • Investor information
    • Research papers

    28 August 2019

    Attitudes towards New Zealand’s financial markets survey

    Investor Confidence Research's main research objectives are to: Measure the level of confidence the New Zealand public have in the New Zealand financial markets; Measure perceptions and awareness of the FMA; Capture the level of understanding of diversification and risk/return trade-off.

    https://www.fma.govt.nz/news-and-resources/reports-and-papers/attitudes-towards-new-zealands-financial-markets-survey/

13. • KiwiSaver and Superannuation
    • Research papers

    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/news-and-resources/reports-and-papers/impact-of-behavioural-insights/

14. • Statutory reports

    27 June 2019

    Ice Futures Europe review

    Ice Futures Europe (IFEU) is licensed to operate the IFEU derivatives market (the derivatives market) in New Zealand. We are required to report, at least once every two years, on how well IFEU is meeting its obligations as a licensed market operator.

    https://www.fma.govt.nz/news-and-resources/reports-and-papers/ice-futures-europe-review/

15. • Statutory reports

    27 June 2019

    NZX Review Report

    NZX Review report outlines our annual review of how well NZX is meeting its statutory obligations. Read reports here.

    https://www.fma.govt.nz/news-and-resources/reports-and-papers/nzx-review/

16. • Financial reporting
    • Statutory reports
    • Auditors

    27 June 2019

    Auditor regulation and oversight plan

    This plan will help licensed auditors, registered audit firms and accredited bodies to understand how FMA will approach auditor regulation. It may also be of interest to issuers, investors and their advisers.

    https://www.fma.govt.nz/news-and-resources/reports-and-papers/auditor-regulation-and-oversight-plan/

17. • Statutory reports

    27 June 2019

    Ice Futures US review

    ICE Futures U.S., Inc. (IFUS) is licensed to operate the IFUS derivatives market (the derivatives market) in New Zealand. The FMA is required to report, at least once every two years, on how well IFUS is meeting its obligations as a licensed market operator.

    https://www.fma.govt.nz/news-and-resources/reports-and-papers/ice-futures-us-review/

18. • Auditors

    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/news-and-resources/reports-and-papers/audit-quality-perceptions-research/

19. • Investor information
    • Surveys
    • Conduct

    18 April 2019

    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/news-and-resources/reports-and-papers/consumer-views-of-financial-providers-conduct/

20. • AML/CFT
    • Monitoring and compliance

    1 April 2019

    AML/CFT Monitoring Report

    AML/CFT Monitoring Report summarises our monitoring activities to help firms and individuals better understand our expectations and how they can improve their systems and processes, to comply with the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (the Act).

    https://www.fma.govt.nz/news-and-resources/reports-and-papers/amlcft-monitoring-report/