1. Compliance
  2. Compliance by role

Compliance by role

Page last updated: 3 Jul 2019

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     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.   To become an AFA you need to meet eligibility requirements, including minimum competence requirements and good character.

Auditors >

Who needs to comply >

Your obligations >

   
Authorised Financial Advisers    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.

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 >

 

   

 

 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 >