Last Revised Date: 26 November 2010

Guidelines on Standards of Conduct for Financial Advisers and Representatives [FAA-G04]

Guidelines on conduct requirements for financial advisers and their representatives.

These guidelines apply to all licensed financial advisers, exempt financial advisers and their representatives.

They set out the standards of conduct expected of financial advisers and their representatives, so as to help foster professional standards and enhance confidence in the financial services industry, in the following areas:

  • Integrity, objectivity, confidentiality and competence.
  • Due care and diligence, disclosures to client and know your client.
  • Conflict of interest, complaints handling and compliance.

Amendment Notes

26 Nov 2010
FAA-G04 (Amendment) 2010 takes effect.