Code of Professional Conduct for Financial Advisors
Learn the principles and standards set out in the Code of Professional Conduct for Financial Advice Services, and how it supports ethical behaviour, regulatory compliance, and high-quality client care within the financial advice industry.
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This module details the Code of Professional Conduct for Financial Advice Services (the Code). The Code supports the purposes of the Financial Markets Conduct Act 2013 (FMC Act), including promoting the confident and informed participation of businesses, investors, and consumers in the financial markets, avoiding unnecessary compliance costs, and ensuring the availability and quality of financial advice. The Code is part of a wider regulatory regime for financial advice, and sets standards of competence, conduct and client-care for the whole financial advice industry.
Course formats
Accelerated Learning
Delivery options
Delivery options
SCORM-compliant file
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