Reports and papers

Found 88 results. Displaying page 1 of 5

1. • Research papers
   • Surveys

   4 August 2022

   Consumer Experience with the Financial Sector Survey

   The Consumer Experience with the Financial Sector survey is our inaugural, nationally representative survey of New Zealand consumers. The FMA commissioned the survey to gain a comprehensive understanding of consumer experiences with the financial sector. The research reveals insights into the mindset and motivations of consumers as they manage their money and deal with financial services firms.

   https://fma.cwp.govt.nz/news-and-resources/reports-and-papers/consumer-experience-research-2022/

2. • Thematic review

   28 July 2022

   Integrated financial products: Review of managed fund documentation

   Findings from a Financial Markets Authority review of the effectiveness of disclosure information from a sample of managed investment funds labelled or marketed as being integrated financial products (e.g. sustainable, ethical, green)

   https://fma.cwp.govt.nz/news-and-resources/reports-and-papers/integrated-financial-products-review-of-managed-fund-documentation/

3. 28 July 2022

   Ethical Investment Journey Research

   This report contains the findings from a qualitative study interviewing a range of New Zealanders about their experience of and journey to buying an ethical* investment.

   https://fma.cwp.govt.nz/news-and-resources/reports-and-papers/ethical-investment-journey-research/

4. • Statutory reports

   28 June 2022

   NZX Review Report

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

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

5. • Financial reporting
   • Statutory reports
   • Auditors

   20 June 2022

   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.

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

6. • Investor information
   • Research papers

   16 June 2022

   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.

   https://fma.cwp.govt.nz/news-and-resources/reports-and-papers/investor-confidence-report-annual-results/

7. 18 May 2022

   Findings from MIS manager Value For Money self-assessment tool pilot

   The FMA’s 2021 guidance on managed fund fees and value for money introduced an expectation for Managed Investment Scheme (MIS) managers to carry out regular reviews of scheme fees and whether customers are receiving value for money.

   https://fma.cwp.govt.nz/news-and-resources/reports-and-papers/findings-value-for-money-self-assessment/

8. • KiwiSaver and Superannuation

   6 May 2022

   Consolidated managed fund data

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

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

9. • Monitoring and compliance

   31 March 2022

   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 2021.

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

10. • 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.

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

11. • 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.

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

12. • 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.

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

13. • 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.

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

14. • 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.

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

15. • 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.

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

16. • 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.

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

17. • 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.

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

18. • 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.

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

19. • 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

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

20. • 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.

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