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.
Download CP 108 (PDF 646 KB) | Read the advisory
Read the report on submissions | Summary of amendments to RGs
| Submissions | Date |
|---|---|
| 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 |