News

First adviser heads to disciplinary committee

Friday 19th of April 2013

The FMA head of primary markets, Sue Brown, says the authority has started the process of taking some advisers to the Financial Advisers Disciplinary Committeee (FADC).

The committee was set up as part of the new regulatory regime and is independent from the FMA. However, if a complaint is made against an adviser and the FMA decides there is a case it can then take a proceeding to FADC.<...

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