CODE COMMITTEE FOR FINANCIAL ADVISERS

News

27 August
Issues Paper in relation to the 2nd draft of the Code of Professional conduct for Authorised Financial Advisers
Read more here

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

30 July
New Code of Professional Conduct recommended -
read more here

Publications

This page includes a list of all Code Committee news releases and publications.

News releases

20 August 2010

Revised Code of Professional Conduct for Authorised Financial Advisers Submitted

30 July 2010

New draft Code of Professional Conduct recommended

2 July 2010

Update from Code Committee Chairman

25 June 2010

Update from Code Committee Chairman

31 March 2010

Draft Code for consultation released

19 January 2010

Getting Ready for Authorisation - New online self-evaluation Tool

19 January 2010

Code Code Committee Releases Consultation Paper - Proposed Minimum Requirements of Continuing Professional Training

17 November 2009

Code Committee releases consultation paper on proposed minimum standards of ethical behaviour and client care for authorised financial advisers

14 August 2009

Code Committee determines baseline standards for financial adviser competency

Speeches and Presentations

7 - 16 April 2010

Draft Code of Conduct for Financial Advisers (PDF 656KB)

30 Nov - 2 Dec 2010

Ethical Behaviour and Client Care (PDF 1MB)

28 - 30 Oct 2010

Proposed minimum standards of competence, knowledge and skills (PDF 787KB)

Publications

27 August 2010

Publication: Issues Paper in relation to the 2nd draft of the Code of Professional conduct for Authorised Financial Advisers

20 August 2010

Publication: Draft Code of professional conduct for authorised financial advisers

6 July 2010

Publication: Code Committee's response to major submission points raised on the first draft of the code of professional conduct for authorised financial advisers (PDF 235KB).

14 April 2010

Publication: Summary of responses to Code Committee's Consultation Paper on Proposed Minimum Standards of Competence, Knowledge and Skills for Authorised Financial Advisers (PDF 597KB).

14 April 2010

Publication: Summary of responses to Code Committee's Consultation Paper on Proposed Minimum Standards of Ethical Behaviour and Client Care for Authorised Financial Advisers (PDF 1,265KB).

14 April 2010

Publication: Summary of responses to Code Committee's Consultation on Proposed Minimum Standards of Continuing Professional Training for Authorised Financial Advisers (PDF 382KB).

14 April 2010

Publication: List of submitters on Code Committee Consultation Papers (PDF 66KB).

31 March 2010

Consultation: Draft Code of Conduct for Authorised Financial Advisers. (PDF 219KB).

31 March 2010

Important information on draft Code and consultation (PDF 65KB).

16 March 2010

Notice of Information on public meetings to consult on draft Code

19 January 2010

Consultation: Proposed Minimum Requirements of Continuing Professional Training for Authorised Financial Advisers (PDF 150KB)

17 November 2009

Consultation: Proposed minimum standards of ethical behaviour and client care (PDF 310KB)

10 November 2009

Extension for submissions on Proposed minimum standards of competence, knowledge and skills (PDF 43KB)

28 October 2009

Clarification to consultation paper published 23 october (PDF 62KB)

23 October 2009

Consultation: Proposed Minimum Standards of Competence, Knowledge and Skills for Authorised Financial Advisers (PDF 223KB)

9 October 2009

Background note: Authorised Financial Advisers Code (PDF 90KB)