Publication: Staff Paper On Regulating and Supervising Financial Advisers


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STAFF PAPER ON REGULATING AND SUPERVISING FINANCIAL ADVISERS

18 June 2009

CONTENTS

ABOUT THIS PAPER

MAKING A SUBMISSION

REGULATING FINANCIAL ADVISERS

OVERVIEW OF THE REGULATORY FRAMEWORK

REGISTRATION OF FINANCIAL ADVISER EMPLOYERS OR PRINCIPALS

FINANCIAL PLANNING SERVICES

REGISTRATION AS A FINANCIAL SERVICE PROVIDER

SUPERVISING FINANCIAL ADVISERS

SUPERVISION AND THE PURPOSE OF THE ACT

The sound delivery of financial advice

The efficient delivery of financial advice

Professionalism and integrity of financial advisers

HOW THE COMMISSION WILL SUPERVISE FINANCIAL ADVISERS

COMPLAINTS AND ENFORCEMENT

COMPLAINTS ABOUT FINANCIAL ADVISERS

GENERAL ENFORCEMENT POWERS

ENFORCEMENT POWERS SPECIFIC TO AFAS

Breaches of the code of professional conduct

ENFORCEMENT POWERS SPECIFIC TO QFES

AUTHORISED FINANCIAL ADVISERS

AFAS - GENERAL COMMENTS

BECOMING AN AUTHORISED FINANCIAL ADVISER

QUALIFYING FINANCIAL ENTITIES

QFES - GENERAL COMMENTS

WHO AND WHAT A QFE IS RESPONSIBLE FOR

Agents of a QFE

AFAs who are employees or agents of a QFE

WHO MIGHT APPLY TO BE A QFE?

BECOMING A QFE

COMPETENCE AND STANDARDS OF PROFESSIONAL CONDUCT FOR QFE ADVISERS

DISCLOSURE BY QFES

Disclosure by wholesale financial advisers and research financial advisers

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