Guidance note 'common sense'
Friday, February 21st 2014, 2:24PM
A guidance note from the FMA on broker obligations outlines a common-sense approach that most brokers should already be taking, one financial law expert says.
Emma Dale, a senior associate at Chapman Tripp, said things like protecting CSN and FIN numbers were things that people should be doing anyway, and not mixing money with your own should go without saying.
“Obviously the FMA has investigated people and perceived there to be a problem but I’m not aware of any wider issue.”
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