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Policy and Regulation » Submissions » Financial Markets » Draft Code of Professional Conduct for Authorised Financial Advisers

Draft Code of Professional Conduct for Authorised Financial Advisers

21.07.2010

Code Committee for Financial Advisers

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  • Proposed Standard Conditions for Qualifying Financial Entities (QFES)
  • Financial Markets (Regulators and Kiwisaver) Bill
  • Draft Financial Advisers (Disclosure) Regulations 2010
  • Draft Code of Professional Conduct for Authorised Financial Advisers
  • Supplementary Order Paper Amendments to the Financial Service Providers (Pre-Implementation Adjustments) Bill
  • Financial Service Providers (Pre-Implementation Adjustments) Bill
  • Draft amendments to the Securities Act (Registered Banks Futures Contracts) Exemption Notice 2007
  • Financial Markets Authority levies discussion document - first submission
  • Financial Markets Authority levies discussion document - second submission
  • Consultation on Effective Disclosure
  • Financial Markets Conduct Bill
  • Draft Guidance Note: Effective Disclosure
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