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HELPING YOU UNDERSTAND THE FASEA CODE OF ETHICS

HELPING YOU UNDERSTAND THEFASEA code OF ETHICSA pril 2019 | Version 13 2019 Financial Planning Association of AustraliaTable of contentsMessage from the CEO ..4 Introduction ..5 Important information ..6 The FASEA code of ETHICS ..8 FASEA Standard 1 ..9 FASEA Standard 2 ..10 FASEA Standard 3 ..19 FASEA Standard 4 ..22 FASEA Standard 5 ..25 FASEA Standard 6 ..29 FASEA Standard 7 ..34 FASEA Standard 8 ..38 FASEA Standard 9 ..39 FASEA Standard 10 ..45 FASEA Standard 11 ..47 FASEA Standard 12 ..48 APPENDIX 1: Considering your client's financial planning needs ..50 APPENDIX 2: Questioning techniques ..53 APPENDIX 3: Trigger events ..60 DisclaimerThis document was issued in April 2019 and is a point in time statement based on the Financial Planners and Advisers code of ETHICS 2019 Legislative Determination and the accompanying Explanatory Statement. This document does not constitute legal advice.

Note: Your employer may be your principal. If you are a financial services licensee, you will not have a principal. Under Standard 7 of the Code you may only receive benefits from a third party, other than your principal, where such benefits are expressly permitted by the Corporations Act 2001. This relates to grandfathered

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