Learn more about these roles and:
Auditors | AFAs | |
Auditor regulation and oversight helps to ensure the businesses we regulate (known as FMC reporting entities) have access to competent auditors, and these audits (known as FMC audits) are of a high standard. | To become an AFA you need to meet eligibility requirements, including minimum competence requirements and good character. | |
Auditors > Who needs to comply > Your obligations > |
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Authorised Financial Advisers | EYY | |
Auditor regulation and oversight helps to ensure the businesses we regulate (known as FMC reporting entities) have access to competent auditors, and these audits (known as FMC audits) are of a high standard. | Auditor regulation and oversight helps to ensure the businesses we regulate (known as FMC reporting entities) have access to competent auditors, and these audits (known as FMC audits) are of a high standard. | |
Authorised Financial Advisers > Your obligations > Continuing Professional Development > Code of Professional Conduct > Monitoring and surveillance > What we look for in our monitoring > Disciplinary process > Financial Advisers Disciplinary committee >
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Auditors >
Who needs to comply >
Your obligations >
Authorised Financial Advisers >
Your obligations >
Continuing Professional Development >
Code of Professional Conduct >
Monitoring and surveillance >
What we look for in our monitoring >
Disciplinary process >
Financial Advisers Disciplinary committee >