Podcast
Questions and Answers
What is the date from which an individual who is authorised to give personal advice to retail clients on relevant financial products must comply with the Code of Ethics?
What is the date from which an individual who is authorised to give personal advice to retail clients on relevant financial products must comply with the Code of Ethics?
- 1 January 2019
- 11 October 2019
- 1 January 2020 (correct)
- 15 November 2019
What was initially intended to monitor and enforce compliance with the Code of Ethics from 1 January 2020?
What was initially intended to monitor and enforce compliance with the Code of Ethics from 1 January 2020?
- A new independent disciplinary body
- A code monitoring body approved by ASIC (correct)
- ASIC
- The Financial Services and Credit Panel
What was announced by the Government on 11 October 2019 regarding the establishment of code monitoring bodies?
What was announced by the Government on 11 October 2019 regarding the establishment of code monitoring bodies?
- The establishment of code monitoring bodies would not proceed (correct)
- The establishment of code monitoring bodies would be delayed
- The establishment of code monitoring bodies would be expedited
- The establishment of code monitoring bodies would be reviewed
What was recommended by the Royal Commission regarding the establishment of a new disciplinary body?
What was recommended by the Royal Commission regarding the establishment of a new disciplinary body?
What was announced as the single disciplinary body that would assume the function of monitoring and enforcing compliance with the Code of Ethics?
What was announced as the single disciplinary body that would assume the function of monitoring and enforcing compliance with the Code of Ethics?
What was the deadline for existing advisers to sign up to an approved code monitoring body?
What was the deadline for existing advisers to sign up to an approved code monitoring body?
Who made the announcement on 11 October 2019 regarding the establishment of code monitoring bodies?
Who made the announcement on 11 October 2019 regarding the establishment of code monitoring bodies?
What was initially intended to monitor and enforce compliance with the Code of Ethics from 1 January 2020, before the Government's announcement on 11 October 2019?
What was initially intended to monitor and enforce compliance with the Code of Ethics from 1 January 2020, before the Government's announcement on 11 October 2019?
What was the expected outcome of the establishment of code monitoring bodies?
What was the expected outcome of the establishment of code monitoring bodies?
What was the purpose of establishing a code monitoring body?
What was the purpose of establishing a code monitoring body?
