The information on these pages is for different roles in the financial advice industry wanting to know their compliance obligations.
Learn more about these roles and:
- Who needs to comply and related exemptions
- what we do to regulate
- Licensing and registration requirements
- Ongoing obligations
| Auditors |
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AFAs |
| Auditor regulation and oversight helps to ensure the businesses we regulate (known as FMC reporting entities) have access to competent auditors, and these audits (known as FMC audits) are of a high standard. |
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To become an AFA you need to meet eligibility requirements, including minimum competence requirements and good character. |
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Auditors >
Who needs to comply >
Your obligations >
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| Authorised Financial Advisers |
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EYY |
| Auditor regulation and oversight helps to ensure the businesses we regulate (known as FMC reporting entities) have access to competent auditors, and these audits (known as FMC audits) are of a high standard. |
|
Auditor regulation and oversight helps to ensure the businesses we regulate (known as FMC reporting entities) have access to competent auditors, and these audits (known as FMC audits) are of a high standard. |
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Authorised Financial Advisers >
Your obligations >
Continuing Professional Development >
Code of Professional Conduct >
Monitoring and surveillance >
What we look for in our monitoring >
Disciplinary process >
Financial Advisers Disciplinary committee >
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Auditors
Auditors >
Who needs to comply >
Your obligations >
Authorised Financial Advisers
Authorised Financial Advisers >
Your obligations >
Continuing Professional Development >
Code of Professional Conduct >
Monitoring and surveillance >
What we look for in our monitoring >
Disciplinary process >
Financial Advisers Disciplinary committee >
