CP 108 Margin lending: Training of financial advisers

Released 13 July 2009. Comments closed 10 August 2009.

This paper sets out ASIC’s proposals on training requirements for financial advisers who advise on margin lending facilities. Attached to this paper is a draft updated version of RG 146, which has been amended to reflect our proposals.

The purpose of this paper is to seek the views of advisers and providers of training and education for advisers, and other interested parties, on the proposals we have developed.

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Read the report on submissions | Summary of amendments to RGs

Financial Education Professionals Pty Ltd 24 July 2009
Investment Banking Institute Pty Ltd 31 July 2009
McCullough Robertson 7 August 2009
Australasian Compliance Institute 10 August 2009
Beverly Houterman 10 August 2009
Institute of Chartered Accountants in Australia 10 August 2009
Kaplan Education Pty Ltd 10 August 2009
Securities & Derivatives Industry Association 10 August 2009
Australian Financial Markets Association 14 August 2009
Australian Bankers' Association 17 August 2009
Financial Planning Association 19 August 2009
Association of Superannuation Funds of Australia 28 August 2009
Last updated: 13/07/2009 12:00