Corporations Act 2001
(a) that meets the requirements of this section; and
(b) under which compliance with the Code of Ethics by relevant providers covered by the scheme is monitored and enforced. Monitoring body of compliance scheme 921G(2)
A monitoring body for a compliance scheme must monitor and enforce compliance with the Code of Ethics by any relevant provider covered by the scheme. 921G(3)
A monitoring body for a compliance scheme must not be:
(a) a financial services licensee; or
(b) an associate of a financial services licensee. 921G(4)
A compliance scheme must name the monitoring body for the scheme. Disputes and complaints 921G(5)
A compliance scheme must set out how a dispute is to be resolved between the monitoring body for the scheme and a relevant provider covered by the scheme. 921G(6)
A compliance scheme must set out how a person may make a complaint to the monitoring body for the scheme in relation to a failure to comply with, or possible failure to comply with, the Code of Ethics by a relevant provider covered by the scheme. Name of compliance scheme 921G(7)
A compliance scheme must have a name.
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