Reports and papers

Found 85 results. Displaying page 3 of 5

1. • 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/

2. • 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/

3. • 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/

4. • 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/

5. • KiwiSaver and Superannuation
   • Research papers
   • Surveys

   16 August 2018

   KiwiSaver Statements survey

   Second survey carried out by Buzz Channel for the FMA among the general public to understand how KiwiSaver statements are perceived, and how people use them.

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

6. • AFA/QFEs
   • Monitoring and compliance

   18 July 2018

   Conflicted conduct in the insurance industry

   Our latest review on conflicted conduct in the insurance industry focuses on how QFEs mitigate risks through their operational policies and procedures when selling replacement policies. Our previous work focuses on RFAa and AFAs. Read reports here.

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

7. • Financial reporting
   • Monitoring and compliance
   • Thematic review

   27 June 2018

   Improving financial statements

   This monitoring report summarises the findings from our thematic review to determine the extent of improvements in the presentation of financial statements in a clear, concise and effective way, and sets out some suggestions for additional improvement.

   https://fma.cwp.govt.nz/news-and-resources/reports-and-papers/improving-financial-statements/

8. • Investor information
   • Monitoring and compliance

   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.

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

9. • 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/

10. • Investor information
    • Monitoring and compliance

    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/

11. • Issuers and offerers
    • 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/

12. • Monitoring and compliance
    • Conduct

    20 February 2018

    Conduct Outcomes Report

    This report outlines how the FMA responded to the areas of misconduct we saw during 2017. It also gives an overview of our supervision activity for the parts of the financial services industry we regulate.

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

13. • Monitoring and compliance
    • Auditors

    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/

14. • Monitoring and compliance

    15 November 2017

    Investigation into certain trading conduct of Goldman Sachs New Zealand Limited

    During our investigation into Mark Warminger, we saw trading activity by Goldman Sachs that gave cause for concern and warranted further investigation. This activity may have presented a false or misleading appearance of the price and supply of securities, which is why it came to our attention. Read more.

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

15. • Licensing
    • Monitoring and compliance

    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.

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

16. • Auditors

    14 September 2017

    Switzerland recognises New Zealand audit oversight regime

    The Swiss Government has announced its recognition of the New Zealand audit oversight regime as equivalent to the Swiss standards, permitting NZ-regulated auditors to operate in Switzerland.

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

17. • KiwiSaver and Superannuation
    • Research papers

    8 June 2017

    Encouraging fund choice in KiwiSaver

    This report is for KiwiSaver providers and for providers of any Managed Investment Scheme. It will also be of interest to behavioural insight researchers. This report describes the results of a behavioural insights randomised control trial.

    https://fma.cwp.govt.nz/news-and-resources/reports-and-papers/encouraging-fund-choice-in-kiwisaver/

18. • Licensing
    • Monitoring and compliance

    24 May 2017

    Licensing overview report

    What we found and what you need to know to meet your licence obligations.

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

19. • Banking
    • Insurance
    • Financial market infrastructure
    • Surveys
    • Thematic review

    1 December 2016

    IMF 2016 review of NZ

    International Monetary Fund (IMF) visited New Zealand to conduct a Financial Sector Assessment Program (FSAP) of this country’s financial system. The goal of FSAP assessments is to gauge the stability of the country’s financial sector, to identify any potential sources of systemic risk and to assess its potential contribution to growth and development. Read more.

    https://fma.cwp.govt.nz/news-and-resources/reports-and-papers/imf-2016-review-of-nz/

20. • Thematic review
    • Corporate governance

    4 August 2016

    A review of corporate governance disclosure in New Zealand

    This report presents our review of corporate governance reporting. We are sharing these findings with companies so they can reflect on their governance practices and disclosures.

    https://fma.cwp.govt.nz/news-and-resources/reports-and-papers/a-review-of-corporate-governance-disclosure-in-new-zealand/