CODE COMMITTEE FOR FINANCIAL ADVISERS
30 July
New Code of Professional Conduct recommended -
read more here
7 July
Invitation from Chairman of Code Committee to Potential QFEs -
read more here (PDF 69KB)
6 July
Code Committee's response to major points raised on first draft of code of professional conduct for authorised financial advisers -
read more (PDF 235KB)
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.
View the draft Code as: PDF (279KB)
30 July 2010
The Code Committee today formally recommended that the Commissioner for Financial Advisers consider and approve the Draft Code of Professional Conduct for Authorised Financial Advisers. View release
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