
News
Adviser appears before FADC on record keeping charges

Sunday 13th of December 2020
In 2019, the Financial Markets Authority audited services provided in 2017 and 2018 by the adviser, whose details, along with her clients, are suppressed.
Counsel for the FMA, Simon Chapman, alleged the adviser did not comprehend she was providing personalised advice in relation to four clients, therefore had not kept proper records.
Barrister Lisa Hansen, for the adviser, expla...
Want to read the full article?
Click the button below to subscribe and will have unlimited access to full article and all other articles on the site.
3 min read