New Chair appointed to the Financial Advisers Disciplinary Committee

The Ministry of Business, Innovation and Employment (MBIE) has today confirmed that Mr John Matthews has been appointed as Chair of the Financial Advisers Disciplinary Committee. John is a current member of the Committee and was appointed by the Minister of Commerce and Consumer Affairs. The appointment took effect on 1 November and is forContinue reading “New Chair appointed to the Financial Advisers Disciplinary Committee”

Update to FADC decision on a financial adviser

We have published our decision into FMA’s complaint against an authorised financial adviser. The FADC has made a decision on the penalties to be applied and has made a permanent order for name suppression.   Copies of the Decision, the Supervision Plan and Appendix to the Supervision Plan can be found on the Decisions page.