News

Suppression, supervision for Adviser X

Friday 30th of May 2014

Instead, he will be subject to a supervision plan he has agreed to by the Financial Markets Authority.

The authorised financial adviser appeared before the FADC yesterday and their judgement was released this afternoon.

Both the adviser’s name, and that of the QFE he worked for, have been suppressed.

The offending related to the adviser’s failure to keep the required record...

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