Printed from https://fyi.org.nz/request/31866-monitoring-visits-outcomes on August 03, 2025 08:40

Monitoring visits outcomes

Jose P made this Official Information request to Financial Markets Authority

Currently waiting for a response from Financial Markets Authority, they must respond promptly and normally no later than (details and exceptions).

From: Jose P

Dear Financial Markets Authority,

I request the following under the OIA.

For the period 1 July 2023 to 30 June 2024, and the period 1 July 2024 to 30 June 2025, please provide the following broken down by type of financial institution (eg bank, insurer, derivative issuer, MIS manager, DIMS provider, advice provider (that is not a bank or insurer), AML reporting entity):
- Number of feedback letters issued by the FMA following a monitoring review
- Number of findings detailed in the feedback letters issued
- Number of monitoring visits that resulted in enforcement action being commenced

Yours faithfully,

Thanks

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