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Draft Code of Professional Conduct for Authorised Financial Advisers

The Code lays down minimum standards of competence, knowledge and skill, ethical behaviour and client care, along with minimum requirements for continuing education and training.

The draft Code as recommended to the Commissioner for Financial Advisers by the Code Committee on Friday 20 August 2010.

View the draft Code as:     PDF (276KB)

News release

2 September 2010
The Commissioner for Financial Advisers approves draft Code of Professional Conduct for Authorised Financial Advisers. See news release

Publication

27 August 2010
Publication: Issues Paper in relation to the 2nd draft of the Code of Professional conduct for Authorised Financial Advisers    View as PDF PDF (272 KB)    |    View as HTML

News release

20 August 2010
Revised Code of Professional Conduct for Authorised Financial Advisers Submitted    View release

 

About the Code Committee

The Committee was appointed in July 2009 by the Commissioner for Financial Advisers. The Commissioner is a Member of the Securities Commission, but the Code Committee is independent.

The Code Committee's role is to develop and maintain a professional code of conduct for authorised financial advisers.

To keep up-to-date with discussion documents and releases made by the Committee please e-mail secretariat@financialadvisercode.govt.nz and ask to be included in their mailing list.

For further financial adviser information outside of the scope of the Code, visit www.seccom.govt.nz