Xu v Noon [2014] NZIACDT 46 (08 April 2014) [pdf, 135 KB]
...conditions and the like. [12] The complainant’s Statement of Reply contained an additional allegation that the adviser failed to comply with the Code of Conduct in relation to written agreements (clause 1.5). The Tribunal in its interim decision informed the adviser that he was at risk of an adverse finding on that issue also. 3 Opportunity to respond [13] The interim decision noted the adviser disputed the alleged facts. [14] As matters stood, it was not possible to...