Reports and papers

Found 82 results. Displaying page 1 of 5

1. • Financial market infrastructure
   • Issuers and offerers
   • Monitoring and compliance

   28 January 2021

   Market Operator Obligations Targeted Review – NZX

   Findings from the FMA’s targeted review of whether NZX is meeting its licensed market operator obligations

   http://fma.cwp.govt.nz/news-and-resources/reports-and-papers/moo-targeted-review-nzx/

2. • Statutory reports

   26 January 2021

   ASX 24 review report

   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 years on how well ASX 24 is meeting its licensed market operator obligations.

   http://fma.cwp.govt.nz/news-and-resources/reports-and-papers/asx-24-review/

3. • Statutory reports
   • Auditors

   23 December 2020

   Audit Quality Monitoring Report

   In this year’s report, we highlight our expectations of directors and auditors of financial statements, and the key focus areas our stakeholders need to be aware of.

   http://fma.cwp.govt.nz/news-and-resources/reports-and-papers/audit-quality-review-report/

4. • KiwiSaver and Superannuation

   17 December 2020

   Consolidated managed fund data

   Quarterly files (from 31 March 2018) with consolidated data for non-KiwiSaver managed funds.

   http://fma.cwp.govt.nz/news-and-resources/reports-and-papers/managed-fund-data/

5. • Regulation updates
   • Surveys

   16 December 2020

   Ease of doing business survey

   This research helps us to better understand the impact that our work has on market participants and stakeholders. It informs the way we work and our focus on continuous improvement in our effectiveness and efficiency.

   http://fma.cwp.govt.nz/news-and-resources/reports-and-papers/ease-of-doing-business-survey/

6. • Monitoring and compliance

   9 December 2020

   Peer-to-peer and crowdfunding: sector snapshot

   This report is a 'snapshot' of peer-to-peer lending (P2P) and crowdfunding activity in New Zealand for the year ended 30 June 2019.

   http://fma.cwp.govt.nz/news-and-resources/reports-and-papers/peer-to-peer-and-crowdfunding-sector-snapshot/

7. • Investor information
   • Research papers

   18 November 2020

   Attitudes towards New Zealand’s financial markets survey

   Investor confidence has remained steady for the third year running, in spite of the volatility caused by COVID-19, see more in the Investor Confidence Survey.

   http://fma.cwp.govt.nz/news-and-resources/reports-and-papers/attitudes-towards-new-zealands-financial-markets-survey/

8. • KiwiSaver and Superannuation
   • Statutory reports

   1 October 2020

   KiwiSaver Annual Report

   Each year we publish a KiwiSaver Report that summarises our activities as a regulator relating to KiwiSaver during the reporting period. Find here the latest report as well as the previous reports.

   http://fma.cwp.govt.nz/news-and-resources/reports-and-papers/kiwisaver-report/

9. • Banking
   • Insurance
   • AFA/QFEs
   • Financial advice
   • Monitoring and compliance
   • Thematic review
   • Conduct

   24 September 2020

   Supervision Insights report

   An overview of the FMA’s supervision activities and findings from our monitoring reviews of regulated entities. The insights in this report tell us that large parts of the industry are working hard to move towards the expectations we and other regulators have articulated. They also give a clear message of problem areas within the industry and how we expect these to be improved. Most of the issues we identified were the result of a casual or careless approach to conduct and compliance, rather than being deliberate misconduct. However, left unchecked, this disregard can escalate into poor outcomes for customers, in a way that may not be immediately obvious. We want there to be no doubt that providers will be culpable if they fail to take appropriate care of customers and their outcomes. Download the full report on this page.

   http://fma.cwp.govt.nz/news-and-resources/reports-and-papers/supervision-insights-report/

10. • KiwiSaver and Superannuation

    26 August 2020

    Compare KiwiSaver data

    The Kiwisaver Tracker shows the relationship between KiwiSaver funds and fees and returns for at least one year. It also shows the risk and benchmark information for each fund and fee and return information by fund type and return period.

    http://fma.cwp.govt.nz/news-and-resources/reports-and-papers/compare-kiwisaver-data/

11. • Regulation updates
    • AFA/QFEs
    • Financial advice
    • Financial reporting
    • Investor information
    • Issuers and offerers
    • KiwiSaver and Superannuation
    • Licensing
    • Monitoring and compliance
    • Research papers
    • Corporate governance

    24 August 2020

    MyFiduciary report into active and passive management of KiwiSaver funds

    The FMA commissioned MyFiduciary to complete a report into the investment management styles of KiwiSaver providers. The report examines how active or passive each KiwiSaver Provider is. It also examines whether investment management fees differ between active and passive approaches

    http://fma.cwp.govt.nz/news-and-resources/reports-and-papers/myfiduciary-report-active-passive-management-kiwisaver/

12. • Regulation updates
    • Monitoring and compliance
    • Thematic review
    • Conduct

    24 July 2020

    Derivatives Issuer Sector Risk Assessment

    This report summarises the key risks posed by licensed Derivatives Issuers to the FMA’s objective of promoting fair, efficient and transparent financial markets.

    http://fma.cwp.govt.nz/news-and-resources/reports-and-papers/derivatives-issuer-sector-risk-assessment/

13. • Statutory reports

    27 June 2020

    NZX Review Report

    NZX Review report outlines our annual review of how well NZX is meeting its statutory obligations. Read reports here.

    http://fma.cwp.govt.nz/news-and-resources/reports-and-papers/nzx-review/

14. • Financial reporting
    • Statutory reports
    • Auditors

    19 June 2020

    Auditor regulation and oversight plan

    This plan will help licensed auditors, registered audit firms and accredited bodies to understand how FMA will approach auditor regulation. It may also be of interest to issuers, investors and their advisers.

    http://fma.cwp.govt.nz/news-and-resources/reports-and-papers/auditor-regulation-and-oversight-plan/

15. • Financial reporting
    • Corporate governance
    • Auditors

    6 May 2020

    Enhanced auditor reporting: A review of the third year of the revised auditor’s report

    Enhanced auditor reporting is a joint FMA and XRB report that looks at the evolution of trends in key audit matter reporting in the three years since the revised auditor’s report was introduced. Read the full report here.

    http://fma.cwp.govt.nz/news-and-resources/reports-and-papers/enhanced-auditor-reporting/

16. • Research papers

    28 January 2020

    Financial Markets Authority: Efficiency, effectiveness and baseline review

    This report by PwC looks at the extent to which the FMA is focused on the right activities in support of its main statutory objectives, opportunities for improving organisational performance, and options for funding FMA to support its broadening remit.

    http://fma.cwp.govt.nz/news-and-resources/reports-and-papers/fma-efficiency-effectiveness-and-baseline-review/

17. • Statutory reports
    • Auditors

    18 December 2019

    Accredited Body Report - CPA Australia

    CPA Australia Accredited Body Report contains the findings of our monitoring assessment of CPA Australia. Read more.

    http://fma.cwp.govt.nz/news-and-resources/reports-and-papers/accredited-body-report-cpa-australia/

18. • Statutory reports
    • Auditors

    18 December 2019

    Accredited Body Report – New Zealand Institute of Chartered Accountants

    NZICA Accredited Body Report contains the findings of our monitoring assessment of the New Zealand Institute of Chartered Accountants (NZICA). Read more.

    http://fma.cwp.govt.nz/news-and-resources/reports-and-papers/accredited-body-report-new-zealand-institute-of-chartered-accountants/

19. • Issuers and offerers
    • KiwiSaver and Superannuation
    • Monitoring and compliance
    • Thematic review

    13 December 2019

    Thematic review of MIS custody arrangements

    The thematic review of MIS custody arrangements identified issues around the independence of custody arrangements, and inconsistency of custodial processes, procedures and controls. Read the full report here.

    http://fma.cwp.govt.nz/news-and-resources/reports-and-papers/mis-custody-arrangements/

20. • Financial market infrastructure
    • Financial reporting
    • Investor information
    • Issuers and offerers
    • KiwiSaver and Superannuation
    • Research papers
    • White papers
    • Corporate governance

    9 September 2019

    Growing New Zealand’s Capital Markets 2029

    NZX and the Financial Markets Authority (FMA) welcomed the release of the Capital Markets 2029 report, saying the 10-year vision and growth agenda would create more opportunities for Kiwis to grow personal wealth, help New Zealand businesses to prosper, and help future-proof the country’s economy.

    http://fma.cwp.govt.nz/news-and-resources/reports-and-papers/growing-new-zealands-capital-markets-2029/