Financial Planning Association Code of Professional Practice includes general standards of conduct to be observed by financial planners.

The two Bills currently before the committee represent the government's response to the committee's 2009 inquiry into financial products and services in Australia.

The Government is making some additional changes to the opt-in aspects of the Future of Financial Advice Bill to provide greater flexibility to industry whilst ensuring consumer protection is maintained.

The chairman of the Australian Securities and Investments Commission discusses the challenges facing ASIC over the next decade, identifying three challenges that ASIC must overcome to achieve its strategic outcomes

ASIC today released policy documents discussing how it undertakes investigations and enforcement activity.

Section 914 of The Dodd-Frank Wall Street Reform and Consumer Protection Act 2010 mandates that the Securities and Exchange Commission conduct a study to review and analyze the need for enhanced examination and enforcement resources for investment advisers.

Section 919C of The Dodd-Frank Wall Street Reform and Consumer Protection Act 2010 mandated that the Government Accountability Office study the oversight of financial planners.

As required by section 919B of The Dodd-Frank Wall Street Reform and Consumer Protection Act 2010, the Securities and Exchange Commission has published a staff study recommending steps to help investors better access information about investment professionals.