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  11. 19 March 2021

    James Greig, FMA Director of Supervision, to lead monitoring and supervision of financial advice

    The FMA announced that overall responsibility for monitoring financial advice sits with James Greig, Director of Supervision. He has recently been appointed to the FMA’s Executive Committee and has reported directly to Chief Executive Rob Everett since 2020.
    Tags
    New Financial Advice regime, Media release, FMA executive team, FMA people, Business, FMA, News & Insights
    Type
    Page

  13. 1 March 2011

    Good character and criminal convictions: Financial Advisers Act 2008

    Good character and criminal convictions: Financial Advisers Act 2008 guide is intended to answer some of the queries the Commission has received regarding the assessment of good character, as well as provide further guidance on the information applicants need to provide to the Commission in relation to criminal convictions.
    Tags
    Financial Adviser, Roles, Business
    Type
    Page, Guidance