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1. 30 August 2014

   Creation of new unit trusts during transition period information sheet 2014

   This information sheet responds to queries by market participants about the ability to create new unit trust schemes under the Unit Trusts Act 1960 between 1 December 2014 and 30 November 2015. FMA’s opinion is that persons creating unit trusts between 1 December 2014 and 1 December 2015 can choose between regimes.

2. 20 February 2017

   Conduct Outcomes Report 2016

   This report highlights the key issues and actions from our enforcement, supervision and preventative activities in the period 1 July 2015 to 30 June 2016.

3. 1 September 2014

   Governance under Part 4 of the FMC Act guidance

   This guidance note is for Issuers of debt securities, managers of investment schemes and their supervisors. It gives guidance on the expectations of the FMA on your approach to governance and accountability responsibilities that apply to Part 4 of the FMC Act 2015.

4. 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.

5. 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.

6. 12 August 2015

   Expectations for and experiences of retirement - research report

   This survey looks at older New Zealanders’ expectations for and experiences of retirement. Research was conducted among those aged 50 years and over, and includes the views of those who are nearing retirement and those who have already retired. The results of the survey were published in 2015.

7. 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.

8. 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.

9. 30 September 2020

   Consultation Auditor Regulation Act Replacement and Amendments

   This consultation is for: licensed auditors and registered audit firms, accredited bodies, and other interested parties. Itseek views from licensed auditors and registered audit firms on the proposed revocation of the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2012 and Amendment Notice 2015, and introduction of the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2020.