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Found 199 results. Displaying page 13 of 14

1. 3 October 2017

   KiwiSaver Annual Report 2017

   We are required to report each year on our main KiwiSaver activities. This report covers the period from 1 July 2016 to 30 June 2017, and contains a summary of the statistical returns required to be lodged by KiwiSaver schemes as at 31 March 2017.

2. 1 October 2016

   KiwiSaver Annual Report 2016

   We are required to report each year on our main KiwiSaver activities. This report covers the period from 1 July 2015 to 30 June 2016, and contains a summary of the statistical returns required to be lodged by KiwiSaver schemes as at 31 March 2016.

3. 1 February 2016

   AML/CFT annual monitoring report 2015

   The aim of this report is to summarise our monitoring to help firms and individuals better understand our expectations, and therefore improve their systems and processes, and ensure compliance with the Act. This report covers the period from 1 July 2014 to 30 June 2015.

4. 5 July 2022

   Exemption Notice - Financial Markets Conduct Futurity Investment Group Limited

   The Financial Markets Conduct (Futurity Investment Group Limited) Exemption Notice 2022 exempts Futurity Investment Group Limited (the manager), as manager of Futurity managed investment schemes in New Zealand, principally from section 156(1) of the Financial Markets Conduct Act 2013 (the Act) subject to certain conditions.

5. 1 August 2019

   Interest rate swap investigation - OIA request

   OIA response, dated 1 August 2019, which looked at the investigation by the FMA in 2012-2013 into banks marketing, promoting and selling interest rate swaps between 2005 and 2009. As well as complaints surrounding interest rate swap and the final settlement number with the banks.

6. 1 October 2015

   KiwiSaver Report 2015

   We are required to report each year on our main KiwiSaver activities. This year’s report covers the period from 1 July 2014 to 30 June 2015, and contains a summary of the statistical returns required to be lodged by KiwiSaver schemes as at 31 March 2015.

7. 12 December 2016

   CPA accredited body report 2016

   The Auditor Regulation Act 2011 (the Act) requires us to monitor and ensure the audit regulatory systems and processes used by accredited bodies are adequate and effective. This report contains the findings of our monitoring assessment of CPA Australia for the period 1 July 2015 to 30 June 2016.

8. 1 April 2019

   AML/CFT Annual Monitoring Report 2018

   This report summarises our monitoring activities from 1 July 2016 to 30 June 2018, to help reporting entities better understand our expectations, and what they can do to improve their systems and processes to comply with the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 and its supporting regulations.

9. 9 December 2015

   CPA Australia accredited body report 2015

   The Auditor Regulation Act 2011 (the Act) requires the FMA to monitor the audit regulatory systems of accredited bodies to ensure that these systems and processes are adequate and effective. This report contains the outcome of our monitoring assessment of CPA Australia for the period 1 July 2014 to 30 June 2015.

10. 12 December 2016

    NZICA accredited body report 2016

    The Auditor Regulation Act 2011 (the Act) requires us to monitor and ensure the audit regulatory systems and processes used by accredited bodies are adequate and effective. This report contains the findings of our monitoring assessment of the New Zealand Institute of Chartered Accountants (NZICA) for the period 1 July 2015 to 30 June 2016.

11. 12 July 2022

    Self assessment tool complaints handling

    Use this self-assessment tool to see if you’re ready to complete the complaints handling section of your Class 1 or Class 2 FAP full licence application. It should help you identify areas of strength or weakness in your full licence preparation so you can seek further help or advice and address any gaps before you apply.

12. 19 January 2021

    ASX24 Obligations Review 2020

    Australian Securities Exchange Limited (ASX 24) is licensed to operate the ASX 24 derivatives market (derivatives market) in New Zealand. The FMA is required to report at least once every two years1 on how well ASX 24 is meeting its licensed market operator obligations. This review covers the period 1 July 2018 to 30 June 2020. T

13. 5 July 2019

    Statement on the Kiwi Access Card

    Part 1, Section 2 of the amended Identity Verification Code of Practice 2013 (IVCOP) currently refers to the older 18+ card as an example of secondary or supporting form of photographic identification, which is to be used in conjunction with a form of primary nonphotographic identification such as a birth certificate in order to meet the standard set by the IVCOP.

14. 3 December 2024

    CRD records illustrative examples

    This document provides illustrative examples to help CREs think about how their CRD records could substantiate their climate statements, along with practical and useful information to help CREs understand our expectations. It is split across the four thematic disclosure areas of NZ CS 1. The guidance and illustrative examples focus on disclosures that need the most explanation, including disclosures that bring a higher risk of non-compliance.

15. 8 December 2016

    AML/CFT Monitoring Report 2016

    This 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). This report covers the period from 1 July 2015 to 30 June 2016. It was our third year of monitoring compliance with the Act.