Reports and papers

Found 61 results. Displaying page 1 of 4

1. • Monitoring and compliance reports

   13 June 2018

   Key findings from the recent re-licensing of supervisors

   The FMA has completed a review of the licensed supervisors during the process to update their license status in 2017.

   180611 Key findings from the recent re licensing of supervisors

   https://fma.cwp.govt.nz/news-and-resources/reports-and-papers/key-findings-from-the-recent-re-licensing-of-supervisors/

2. • Monitoring and compliance reports

   7 June 2018

   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/

3. • Compare KiwiSaver data

   31 May 2018

   Compare KiwiSaver data

   We consolidate information from KiwiSaver providers in two ways to support analysis, discussion and debate on the relationship between investment risk, returns and fees.

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

4. • Research papers

   24 May 2018

   New Zealand Equity Market Cleanliness for the years 2010-2016

   This report assesses the cleanliness of New Zealand equity markets. The assessment is based on the prevalence of abnormal price movements ahead of material price sensitive announcements -measured by the market cleanliness statistic (MCS).

   https://fma.cwp.govt.nz/news-and-resources/reports-and-papers/new-zealand-equity-market-cleanliness-for-the-years-2010-2016/

5. • Monitoring and compliance reports

   16 May 2018

   Life insurance replacement business

   This review examines the soft commission structures in place for life and health insurance products and how advisers respond to these incentives. This work forms part of a range of regulatory activities examining conflicted conduct in the insurance sector.

   https://fma.cwp.govt.nz/news-and-resources/reports-and-papers/life-insurance-replacement-business/

6. • Monitoring and compliance reports

   15 May 2018

   Authorised Financial Advisers in NZ

   Interactive Authorised Financial Advisers in NZ 2017 report.

   https://fma.cwp.govt.nz/news-and-resources/reports-and-papers/authorised-financial-advisers-in-nz/

7. • Monitoring and compliance reports

   18 April 2018

   General stocktake of fund updates

   This ‘stocktake’ meets a specific milestone to review quarterly fund updates and engage with the market on our findings. This review forms part of our strategic priorities for 2017-2018 to work with issuers and their professional advisers to improve disclosure documents and offer information.

   https://fma.cwp.govt.nz/news-and-resources/reports-and-papers/general-stocktake-of-fund-updates/

8. • Research papers

   10 April 2018

   Product disclosure statements: understanding investors’ information needs

   The purpose of this report is to help issuers and their advisers think about how they can make disclosure information more useful for investors.

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

9. • Monitoring and compliance reports

   20 February 2018

   Conduct Outcomes Report

   The Conduct Outcomes Report outlines how we responded to the areas of misconduct we saw during 2017.

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

10. • Statutory reports

    12 December 2017

    Accredited Body Report – New Zealand Institute of Chartered Accountants

    This report contains the findings of our monitoring assessment of the New Zealand Institute of Chartered Accountants (NZICA) for the period 1 July 2016 to 30 June 2017.

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

11. • Statutory reports

    12 December 2017

    Accredited Body Report - CPA Australia

    This report contains the findings of our monitoring assessment of CPA Australia for the period 1 July 2016 to 30 June 2017.

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

12. • Monitoring and compliance reports

    29 November 2017

    Key Audit Matters - A stock take of the first year in New Zealand

    This report provides a stock take of the New Zealand experience in the first year of adopting the revised auditor’s report, specifically focussing on the reporting of key audit matters (KAMs).

    https://fma.cwp.govt.nz/news-and-resources/reports-and-papers/key-audit-matters-a-stock-take-of-the-first-year-in-new-zealand/

13. • Monitoring and compliance reports

    27 November 2017

    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 2017.

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

14. • Statutory reports

    23 November 2017

    Audit Quality Monitoring Report

    This report summarises our findings from the quality reviews we carried out between 1 July 2016 and 30 June 2017.

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

15. • Statutory reports

    5 October 2017

    KiwiSaver Report

    This year’s report covers the period from 1 July 2016 to 30 June 2017, and contains a summary of the statistical returns required to be lodged by KiwiSaver schemes as at 31 March 2017.

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

16. • Monitoring and compliance reports

    22 September 2017

    Financial Service Providers Register report

    Read about the work we’re doing to tackle misuse of the Financial Services Provider Register (FSPR) and some useful case studies that provide examples of where we’ve taken action.

    170922 FSPR report

    https://fma.cwp.govt.nz/news-and-resources/reports-and-papers/financial-service-providers-register-report/

17. • Monitoring and compliance reports

    4 July 2017

    AML/CFT - Sector Risk Assessment

    Our AML/CFT SRA 2017 is an important document that provides general information and specific examples to assist reporting entities (REs) in the nine sectors we supervise for anti-money laundering and counter-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/

18. • Statutory reports

    29 June 2017

    NZX Review

    This report outlines our annual review of how well NZX is meeting its statutory obligations, and covers the 2016 calendar year.

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

19. • Statutory reports

    28 June 2017

    Ice Futures Europe review

    This review covers the period 1 December 2014 to 31 December 2016. This is our first review of IFEU since it became licensed on 1 December 2014.

    170627 Ice Futures Europe review 2017

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

20. • Statutory reports

    28 June 2017

    Ice Futures US review

    This review covers the period 1 December 2014 to 31 December 2016. This is our first review of IFUS since it became licensed on 1 December 2014.

    170627 Ice Futures US review 2017

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