Article tagged with 'FADC'
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QROPS adviser breached code: FADC
22 Jun 2017 - An unnamed pension transfer adviser has been found to have breached code standards, although none of his clients complained about him.
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Berry back on FADC
02 Jun 2017 - Tracey Berry has been reappointed to the Financial Advisers Disciplinary Committee for a five-year term.
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'Sales and advice' one of FMA's risk priorities
15 Feb 2017 - Advisers can expect an increase in monitoring activity over the coming year as the Financial Markets Authority resumes tighter supervision of the sector.
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FAA review means advisers spend less time advising clients
22 Jul 2016 - Small financial advice firms who have only just finished getting their businesses in line with the current Financial Advisers Act now face a hefty bill to do it all over again.
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Decisions still pending on FADC referrals
28 Jan 2016 - Investigations continue into two possible referrals to the Financial Advisers Disciplinary Committee.
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FADC investigations near completion
09 Oct 2015 - FMA is close to finishing its investigation into two advisers.
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Two advisers investigated
28 Aug 2015 - FMA began investigations into two potential referrals to the Financial Advisers Disciplinary Committee in the past year.