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Reports and papers

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This section contains our reports, research papers and data tools.

For corporate publications, such as the annual report and statement of intent please see our corporate publications page

For guides, information sheets and legal guidance please see our guidance library.

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Found 74 results. Displaying page 3 of 4

    • AML/CFT
    • Monitoring and compliance

    4 July 2017

    AML/CFT - Sector Risk Assessment

    Our AML/CFT SRA 2017 is an important document that provides general information and specific examples to assist reporting entities (REs) in the nine sectors we supervise for anti-money laundering and counter-financing of terrorism (AML/CFT). It will assist REs to prepare and review their individual assessments of the risks of AML/CFT under sections 58 and 59 of the AML/CFT Act.

    https://www.fma.govt.nz/news-and-resources/reports-and-papers/amlcft-sector-risk-assessment/

    • Regulation updates
    • Banking
    • Insurance
    • Financial market infrastructure
    • Surveys

    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.

    https://www.fma.govt.nz/news-and-resources/reports-and-papers/imf-2016-review-of-nz/

    • AFA/QFEs
    • Monitoring and compliance

    12 September 2014

    Qualifying Financial Entities (QFE) Monitoring Report

    We cover site visits and wider monitoring activities up to June 2014. We provide an overview of our key findings from on-site QFE inspections of some of the major banks as well as non-bank entities, and have identified areas that could be improved by adopting better practices.

    https://www.fma.govt.nz/news-and-resources/reports-and-papers/qualifying-financial-entities-qfe-monitoring-report/

    • Monitoring and compliance
    • Statutory reports

    4 April 2014

    Securities Trustees and Statutory Supervisors - Feedback from monitoring visits

    The findings in this report reflect common issues recorded during our on-site visits of licensees and summarises the overall assessment of monitoring quality (section 1). It also provides key messages for licensees (section 2) and outlines the future focus of monitoring reviews (section 3).

    https://www.fma.govt.nz/news-and-resources/reports-and-papers/securities-trustees-and-statutory-supervisors-feedback-from-monitoring-visits/