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AFA monitoring reveals some gaps
Friday 21st of March 2014
It has released its AFA monitoring report covering the second half of last year, when it focused on advisers in Hamilton and Dunedin.
Thirty-two adviser business statements were reviewed and 12 advisers were visited.
The FMA said it found not all advisers’ disclosure documents followed the required format.
“In particular, there were a number of instances where AFAs were not...
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