Authorized Financial Adviser

Authorized Financial Adviser

An investment adviser in the United Kingdom registered under and subject to the Financial Services Act 1986 and the Financial Services and Markets Act 2000.
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In New Zealand, too, about one-third of advisors left the business after the full implementation of the Financial Services Act of 2008, which mandated that investment advisors meet educational requirements of a revised version of the National Certificate in Financial Services --unless they satisfy recognized alternative qualifications or designations -- to become an Authorized Financial Adviser.
Don't extend RIA fiduciary standard to broker-dealers
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