
Regulation
FMA kicks-off monitoring reviews
Friday 27th of May 2011
Director of Financial Adviser Regulation, Mel Hewitson, says as monitoring activity increases, AFAs may be selected for an ABS review, an interview or a visit as part of random checks, in response to information received about their business, or because FMA is investigating a particular theme across the industry.
"Regulation is new for advisers so our focus in these early months is on gi...
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