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FADC Findings published
The Financial Advisers Disciplinary Committee (FADC) has published its findings in a case referred to the Committee by the FMA.
A copy of the findings can be found here.
The FMA encourages all Authorised Financial Advisers to read and consider the findings of the Committee.
The FMA is required under the Financial Advisers Act 2008 to refer a complaint to the FADC if, following an investigation, the FMA believes the conduct of an adviser is in breach of the Code of Professional Conduct for AFAs.
The FMA will comment further on the case following the final determination of the Committee.
ends
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