AFA Code of Conduct Committee

In 2016, the AFA Board created a specialist working group to develop the AFA's policy positions on the incoming professional standards regime.

This Committee's functions are to:

  • review and develop a draft of the AFA Code of Conduct:

    ·       to be consistent with the Principles of Professionalism;

    ·       have regard to ASIC’s guidance in Regulatory Guide 183; and

    ·       to provide best practice guidance to AFA members;

    ·       for approval by the AFA members at the AFA National Conference; and

    ·       after approval, continue to monitor and review the Code of Conduct.

  • adapt the Code of Conduct to incorporate any requirements of the Code of Ethics / Model Code set down by the statutorily established Standards Body for financial adviser professional standards; and

  • make recommendations to the AFA Board about any relevant matters

The Committee is currently setting the ground work for a larger group of people to:

  • Develop the AFA Code
  • Prepare the AFA to become a Code Compliance Monitoring Scheme
  • Develop AFA policy positions on the Standards Body-issued Code of Ethics

The members of the steering committee of the working group are:

  • Phil Anderson (Chair) - AFA General Manager, Policy & Professionalism
  • Graeme Evans - GPS Wealth
  • James Ford (Deputy Chair) - AFA WA State Director
  • Kate McCallum - Financial Adviser, Multiforte Financial Services
  • Jaime Lumsden - The Fold Legal
  • Brad Fox - SmartBrave Consulting

If you have any input or research for the Code Committee, please forward to the Chair of the Committee at info@afa.asn.au 

This Committee will complement the work of the AFA's other policy development and advocacy working groups: