This consultation paper seeks feedback on our proposals to enhance safeguards for proper conduct of prospecting activities at public places and telemarketing, and address conduct risks and issues associated with these activities.

Consultation number:

P002-2003

Start date:

25 April 2023

Closing date:

30 June 2023

Sets out the licensing, financial and business conduct requirements for financial advisers.

Sets out requirements for licensing, representative notification and conduct of business, and criteria for exemptions from licensing.

Requirements for financial advisers when appointing and using introducers.