Reports and papers

Found 76 results. Displaying page 1 of 4

1. • Statutory reports

   27 June 2019

   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.

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

2. • Statutory reports

   27 June 2019

   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.

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

3. • Financial reporting
   • Statutory reports
   • Auditors

   27 June 2019

   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/

4. • Statutory reports

   27 June 2019

   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. • KiwiSaver and Superannuation

   14 June 2019

   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/

6. • Auditors

   22 May 2019

   Audit Quality Perceptions Research

   The overall aim of this research is to inform FMA of public and industry perceptions of the audit quality in NZ and enable them to target work to increase understanding of the auditor’s role, strengthen perceived value of that role, along with knowledge of the FMA’s role of oversight and regulation of auditors.

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

7. • Investor information
   • Surveys
   • Conduct

   18 April 2019

   Consumer views of financial providers' conduct

   A research among New Zealanders to understand their experience with financial services providers.

   https://fma.cwp.govt.nz/news-and-resources/reports-and-papers/consumer-views-of-financial-providers-conduct/

8. • Statutory reports
   • Auditors

   18 April 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.

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

9. • AML/CFT
   • Monitoring and compliance

   1 April 2019

   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).

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

10. • Auditors

    27 March 2019

    PCC decision - Richard Owen Dey and Michael Derek Wood

    The Professional Conduct Committee of the Chartered Accountants Australia New Zealand (CA ANZ) has published its findings in relation to Richard Owen Dey and Michael Derek Wood. Read more.

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

11. • Statutory reports

    1 March 2019

    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.

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

12. • KiwiSaver and Superannuation
    • Research papers

    27 February 2019

    Using behavioural insights to improve KiwiSaver outcomes

    KiwiSaver behavioural insights 2019 report uses behavioural insights to improve KiwiSaver outcomes. Read the report here.

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

13. • Thematic review
    • Conduct

    29 January 2019

    Life Insurer Conduct and Culture

    Findings from an FMA and RBNZ review of conduct and culture in New Zealand life insurers

    https://fma.cwp.govt.nz/news-and-resources/reports-and-papers/life-insurer-conduct-and-culture/

14. • Statutory reports
    • Auditors

    5 December 2018

    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/

15. • Financial reporting
    • Issuers and offerers
    • Corporate governance

    30 November 2018

    Investigation of potential disclosure breaches during the failure of Wynyard Group Limited

    Wynyard investigation report 2018 sets out the Financial Markets Authority’s conclusions following an investigation into the compliance of Wynyard Group Limited with its continuous disclosure and fair dealing obligations. Read more.

    https://fma.cwp.govt.nz/news-and-resources/reports-and-papers/investigation-of-potential-disclosure-breaches-during-the-failure-of-wynyard-group-limited/

16. • Statutory reports
    • Auditors

    26 November 2018

    Audit Quality Monitoring Report

    This report summarises our findings from quality reviews carried out between 1 July 2017 and 30 June 2018.

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

17. • Financial reporting
    • Monitoring and compliance

    23 November 2018

    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/

18. • Thematic review
    • Conduct

    15 November 2018

    Bank Incentive Structures

    Findings from an FMA review of incentive structures in the banking industry

    https://fma.cwp.govt.nz/news-and-resources/reports-and-papers/bank-incentive-structures/

19. • Surveys
    • Conduct

    5 November 2018

    Bank Conduct and Culture Consumer Survey

    The FMA and the RBNZ commissioned Buzz Channel to conduct an online survey among New Zealanders to understand their experience of the conduct and culture of the main bank they use for their personal banking.

    https://fma.cwp.govt.nz/news-and-resources/reports-and-papers/bank-conduct-and-culture-consumer-survey/

20. • Conduct

    5 November 2018

    Bank Conduct and Culture Review

    Findings from an FMA and RBNZ review of conduct and culture in New Zealand retail banks

    https://fma.cwp.govt.nz/news-and-resources/reports-and-papers/bank-conduct-and-culture-review/