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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 78 results. Displaying page 3 of 4

    • Monitoring and compliance
    • Corporate governance

    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.


    • 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.


    • 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.


    • Insurance
    • AFA/QFEs
    • Financial advice
    • Monitoring and compliance
    • Thematic review

    29 June 2016

    Replacing life insurance — who benefits?

    The FMA has previously raised concerns about the extent of replacement business in the life insurance industry. In response to these concerns, we initiated a review to determine whether insurance churn exists in the New Zealand market and, if it does, whether it harms consumers. Read the full report and media release here.


    • 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.
    Qualifying Financial Entities Monitoring Report