Standards of
a relevant provider must:
Act in accordance with the sprit – not only the letter – of all relevant laws and regulations (including this Code)
Must neither adviser, refer nor act in any other manner, where inappropriate personal advantage is deriver by the relevant provider.
Act with personal integrity and as an independently minded professional for the benefit of each client.
Standards of
a relevant provider must:
Act only on the basis off the free, prior and informed consent of a client.
Ensure that all advice and products are:
Take into account the broad effects arising from a client acting on their advice.
Standards of
a relevant provider must:
Obtain informed consent to act and receive agreed fees and payments for agreed services.
Obtain informed consent, and agree to maintain records relevant to the advice provided in accordance with relevant privacy regulatory and confidentially obligations.
Ensure that all advice and products:
Standards of
a relevant provider must:
Develop and maintain a high level of relevant knowledge and skills
Accept the potential breaches of this Code will be subject to investigation and discipline from the responsible Code Monitoring Body, undertaken in accordance with ASIC’s approval and oversight of the Body.
Individually and in cooperation with peers, uphold and promote the ethical standards of the profession, and hold each other accountable for the protection of the public interest.
A relevant provider must always act to realise and promote the values of:
A relevant provider is defined in the Corporations Act 2001 (s 910A) as an induvial authorised to provide advice to retail clients, in relation to relevant financial products.
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