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, FIL Investment Management (Australia) Ltd

FSC Contact

Stephen Judge
General Counsel & Company Secretary
P: 02 8235 2526
E: sjudge@fsc.org.au

Standards, Oversight & Disciplinary Board Committee - 2011 meeting dates

  • Monday 14 February 2011 @ 11am to 12:30pm - FSC Boardroom, Lev 24, 44 Market St, Sydney
  • Tuesday 19 April 2011 @ 11:30am to 12:30pm - FSC Boardroom, Lev 24, 44 Market St, Sydney 
  • Wednesday 8 June 2011 @ 10am to 11:30am - FSC Boardroom, Lev 24, 44 Market St, Sydney
  • Wednesday 7 September 2011 @ 1:00pm to 2:00pm - FSC Boardroom, Lev 24, 44 Market St, Sydney
  • Wednesday 19 October 2011 @ 10am to 11:30am - FSC Boardroom, Lev 24, 44 Market St, Sydney

Standards, Oversight & Disciplinary Board Committee - 2012 meeting dates

  • Thursday 1 March 2012 @ 9am to 10:30am - FSC Boardroom, Lev 24, 44 Market St, Sydney
  • Wednesday 2 May 2012 @ 10am to 11:30am - FSC Boardroom, Lev 24, 44 Market St, Sydney
  • Friday 7 September 2012 @ 10am to 11:30am - FSC York Room, Lev 24, 44 Market St, Sydney
  • Friday 19 October 2012 @ 10am to 11:30am - FSC York Room, Lev 24, 44 Market St, Sydney