Standards Oversight & Disciplinary Board Committee

Mandate

This Committee is responsible for the oversight of the Financial Services Council's ("FSC") Standard No. 1 – Industry Code of Ethics, Code of Conduct and reviewing FSC member compliance with FSC Standards.

The role of this Committee is to:

consider Board Committee proposals for the development of new Standards and revisions to existing Standards;
review and make final recommendations to the Board for the approval of draft Standards or Guidance Notes, and revisions to existing Standards or Guidance Notes;
oversee the annual FSC Standards compliance process and provide a report to the Board; and
hear and assess complaints against FSC member companies, non compliance with FSC’s Standards and expediting disciplinary action if required.

The Committee comprises three members of the FSC's Board:

Chair of the Standards, Oversight & Disciplinary Board Committee

FSC Director, Brad Cooper, Chief Executive Officer, BT Financial Group

Members of the Standards, Oversight & Disciplinary Board Committee

FSC Director, Robin Burns, Managing Director, Equity Trustees Ltd

FSC Director, Gerard Doherty, Managing Director, Fidelity Worldwide Investment

FSC Contacts

Stephen Judge                                           Belinda Mortimer                 Paul Callaghan
General Counsel & Company Secretary    Legal Counsel                      Standards Consultant
P: 02 8235 2526                                         P: 02 8235 2531                   P: 02 8235 2517
E: sjudge@fsc.org.au                                 E: bmortimer@fsc.org.au     E: pcallaghan@fsc.org.au