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Found 112 results. Displaying page 6 of 8

1. 12 May 2020

   Financial reporting – review findings and guidance for entities 2020

   The 2020 financial reporting review outlines our approach and highlightes areas of interest in our 2019 reviews.

2. 15 November 2019

   FAP transitional licence standard conditions submissions report

   Summary of key themes: Submissions on proposed standard conditions for financial advice provider transitional licences November 2019

3. 28 March 2019

   Richard Owen Dey - Notice of decision NZICA

   NZICA decision on Richard Owen Dey outlines 2019 audit ethics breaches, including partner rotation and documentation failures.

4. 4 September 2023

   FMA042 KiwiSaver Facts at a glance1

   Explore KiwiSaver 2019 stats: $57B funds, 2.9M members, fees insights, and trends in 1st home and 65+ withdrawals.

5. 5 March 2019

   ANZ Bank New Zealand Limited - Appeal Judgment

   Judgment of the Court of Appeal in the case against ANZ Bank New Zealand Limited, 5 March 2019.

6. 19 July 2019

   Financial Planning Limited and Impact Enterprises Limited - reasons for Judgment

   High Court reasons for Judgment in the case against Financial Planning Limited and Impact Enterprises Limited, 19 July 2019.

7. 17 July 2019

   Financial Planning Limited and Impact Enterprises Limited - Judgment

   Judgment in the High Court in the case against Financial Planning Limited and Impact Enterprises Limited, 17 July 2019.

8. 27 March 2019

   Michael Derek Wood - notice of decision NZICA

   NZICA decision on Michael Derek Wood details 2019 ethics breach in audit review role, resulting in reprimand & cost order.

9. 21 February 2019

   Viaduct Capital & Mutual Finance - Judgment

   High Court verdicts and reasons in the case against Paul Bublitz, Bruce McKay and Richard Blackwood, 21 February 2019.

10. 21 February 2019

    Viaduct and Mutual finance - case verdicts

    High Court case verdicts and reasons in the case against Paul Bublitz, Bruce McKay and Richard Blackwood, February 2019.

11. 21 July 2021

    Insurance conduct and culture: Fire and general insurers update PDF

    Findings from our evaluation of New Zealand fre and general insurers’ responses to the 2019 Life Insurer Conduct and Culture review

12. 10 October 2019

    Circle Markets Limited - Formal Warning

    FMA issues formal warning to Circle Markets Ltd on 10 Oct 2019 for AML/CFT Act 2009 breaches under section 80.

13. 23 July 2019

    Expensive Trials - OIA response

    OIA response, dated 23 July 2019, regarding the FMA’s five most expensive trials, what they involved and a summary of costs

14. 14 May 2019

    5 Most Expensive Trials - OIA response

    OIA response, dated 14 May 2019, regarding the FMA’s five most expensive trials, what they involved and a summary of costs

15. 12 February 2020

    CPA Australia accredited body report 2020

    This report contains the findings of our monitoring assessment of CPA Australia for the period 1 July 2019 to 30 June 2020.