Reports and papers

Found 84 results. Displaying page 1 of 5

1. • KiwiSaver and Superannuation

   17 January 2022

   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/

2. • AML/CFT
   • Monitoring and compliance

   7 December 2021

   AML/CFT - Sector Risk Assessment

   Our AML/CFT SRA 2021 is an important document that provides general information and specific examples to assist reporting entities (REs) in the ten sectors we supervise for anti-money laundering and countering the 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.

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

3. • Statutory reports
   • Auditors

   3 December 2021

   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/

4. • Statutory reports
   • Auditors

   3 December 2021

   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/

5. • KiwiSaver and Superannuation

   22 November 2021

   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/

6. • Statutory reports
   • Auditors

   10 November 2021

   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/

7. • AML/CFT
   • Monitoring and compliance

   30 September 2021

   AML/CFT Monitoring Report

   AML/CFT Monitoring 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). View our latest and previous AML/CFT monitoring reports on this page.

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

8. • KiwiSaver and Superannuation
   • Statutory reports

   28 September 2021

   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. • Insurance
   • Conduct

   23 September 2021

   Review of credit card repayment insurance products

   The FMA has conducted a review of credit card repayment insurance products to gain a better understanding of providers’ practices, and the product’s suitability for consumers. We encourage anyone who has purchased this sort of insurance to read the report.

   http://fma.cwp.govt.nz/news-and-resources/reports-and-papers/review-of-credit-card-repayment-insurance-products/

10. • Investor information
    • Research papers

    5 August 2021

    Retail investor platforms research

    Research commissioned by the Financial Markets Authority to learn more about the use of online investing platforms, including investor profiles and behaviours.

    http://fma.cwp.govt.nz/news-and-resources/reports-and-papers/retail-investor-platforms-research/

11. • Insurance
    • Conduct

    22 July 2021

    Insurance conduct and culture: Fire and general insurers update

    Findings from the FMA’s evaluation of New Zealand fire and general insurers’ responses to the 2019 Life Insurer Conduct and Culture review

    http://fma.cwp.govt.nz/news-and-resources/reports-and-papers/fire-and-general-insurers-update/

12. • Investor information
    • Research papers

    6 July 2021

    Investor confidence report – annual results

    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/investor-confidence-report-annual-results/

13. • Financial reporting
    • Monitoring and compliance
    • Thematic review
    • Corporate governance

    2 July 2021

    Filing of financial statements: review findings and guidance

    This report provides a summary of the key findings and insights from the FMA’s monitoring review of financial reporting filing obligations. It also provides guidance and sets expectations for future reporting periods.

    http://fma.cwp.govt.nz/news-and-resources/reports-and-papers/filing-of-financial-statements-review-findings-and-guidance/

14. • Statutory reports

    30 June 2021

    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/

15. • Statutory reports

    29 June 2021

    Ice Futures Europe review

    Ice Futures Europe (IFEU) is licensed to operate the IFEU derivatives market (the derivatives market) in New Zealand. We are required to report, at least once every two years, on how well IFEU is meeting its obligations as a licensed market operator.

    http://fma.cwp.govt.nz/news-and-resources/reports-and-papers/ice-futures-europe-review/

16. • Statutory reports

    29 June 2021

    Ice Futures US review

    ICE Futures U.S., Inc. (IFUS) is licensed to operate the IFUS derivatives market (the derivatives market) in New Zealand. The FMA is required to report, at least once every two years, on how well IFUS is meeting its obligations as a licensed market operator.

    http://fma.cwp.govt.nz/news-and-resources/reports-and-papers/ice-futures-us-review/

17. • Financial advice

    28 June 2021

    A guide to talking about money online

    Talking about money or investing can cross over into providing financial advice. This is a guide for consumers, social media influencers, bloggers and anyone wanting to discuss money matters online.

    http://fma.cwp.govt.nz/news-and-resources/reports-and-papers/guide-to-talking-about-money-online/

18. • KiwiSaver and Superannuation

    16 June 2021

    KiwiSaver switching research

    A review of KiwiSaver member behaviour in response to COVID-19.

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

19. • Financial reporting
    • Statutory reports
    • Auditors

    14 June 2021

    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/

20. • Banking
    • Research papers

    17 May 2021

    Negative Interest Rate report

    The report is a summary of responses received from our survey of licensed financial services firms in September 2020 regarding their readiness for negative interest rates.

    http://fma.cwp.govt.nz/news-and-resources/reports-and-papers/negative-interest-rate-report/