RG 183 Approval of financial services sector codes of conduct

Issued 1 March 2013

This guide is for:

  • applicants seeking ASIC approval of a financial services sector code (code) under s1101A of the Corporations Act 2001 (Corporations Act);
  • persons who are responsible for preparing, maintaining and ensuring compliance with these codes (code owners); and
  • financial advisers who enter into ongoing fee arrangements with retail clients and seek an alternative to complying with s962K of the Corporations Act by subscribing to a code approved by ASIC under s962CA for this purpose.

It gives guidance on our approach to approving codes, including how to obtain and retain approval.

Download RG 183 (PDF 254 KB)

Last updated: 01/03/2013 12:00