Reports and papers

Found 78 results. Displaying page 1 of 4

1. • Investor information
   • Research papers

   25 June 2020

   Attitudes towards New Zealand’s financial markets survey

   Investor confidence has remained steady for the third year running, in spite of the volatility caused by COVID-19, a Financial Markets Authority (FMA) survey has found. The markets regulator today released its annual Investor Confidence Survey, which was conducted between 5 and 14 May, during Level 3 lockdown. The survey found two-thirds of investors (66%) were confident in New Zealand’s financial markets, in line with 65% of investors last year. Read the full research report here.

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

2. • KiwiSaver and Superannuation

   24 June 2020

   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. • Financial reporting
   • Statutory reports
   • Auditors

   19 June 2020

   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/

4. • KiwiSaver and Superannuation

   10 June 2020

   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/

5. • Financial reporting
   • Corporate governance
   • Auditors

   6 May 2020

   Enhanced auditor reporting: A review of the third year of the revised auditor’s report

   A review of the third year of the revised auditor’s report

   https://www.fma.govt.nz/news-and-resources/reports-and-papers/enhanced-auditor-reporting/

6. • 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/

7. • Issuers and offerers
   • KiwiSaver and Superannuation
   • Monitoring and compliance
   • Thematic review

   13 December 2019

   Thematic review of MIS custody arrangements

   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.

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

8. • 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/

9. • 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/

10. • 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/

11. • 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/

12. • 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/

13. • 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/

14. • 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/

15. • 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/

16. • 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/

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. • 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/

19. • 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/

20. • 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/