Date posted: 20/03/2018 3 min read

Code of Professional Conduct for Financial Advice Services

Have your say on the new Code of Conduct for Financial Advice Services in New Zealand

In brief

  • The Financial Advice Code Working Group has published a consultation paper on the new Code of Conduct.
  • Chartered Accountants ANZ is seeking feedback from members for our submission.
  • It is anticipated that a final Code will be approved by late 2018.

The Ministry of Business, Innovation & Employment Financial Advice Code Working Group (Code Working Group) has published a consultation paper on the new Code of Conduct for Financial Advice Services and is seeking feedback by Monday 30 April 2018.

The consultation seeks your views on:

  • principles for drafting the Code
  • minimum standards of ethical behaviour
  • conduct and client care
  • general competence, knowledge and skills, and
  • particular competence, knowledge and skills.

Chartered Accountants ANZ will make a submission.

We are seeking feedback from members on the consultation questions by Monday 16 April 2018 for consideration in preparing our submission.

Don’t miss your chance to provide feedback on the key concepts, assumptions and high level approach being taken by the Code Working Group in drafting the Code.

It is anticipated that the Code Working Group will undertake further consultation on the wording of the draft Code in mid-2018, with the final Code approved by late 2018.

Code Working Group Consultation Paper

Consultation paper on the Code of Professional Conduct for Financial Advice Services

Read more

Code Working Group Consultation Slides

Consultation slides on the Conduct of Professional Conduct for Financial Advice Services

Read more

Have your say

Members are invited to provide feedback on the consultation questions

Contact us

Search related topics