Financial Services Quarterly
FMA guidance for Authorised Financial Advisers
The Financial Markets Authority (FMA) has published guidelines for Authorised Financial Advisers (AFAs), clarifying the FMA's expectations in connection with Code Standard 6 (d) of the Code of Professional Conduct for AFAs, particularly in relation to public issues.
The guidance note aims to assist AFAs as financial markets participants in determining their responsibilities, and ensuring that their clients have sufficient information. It describes the factors and considerations AFAs should take into account in order to comply with Code Standard 6 (d).
Click here to read the guidance note.
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This publication is necessarily brief and general in nature. You should seek professional advice before taking any action in relation to the matters dealt with in this publication.
