Reference Checking in the Financial Services Industry

ASIC and Standards Australia have launched a new handbook, Reference Checking in the Financial Services Industry (pdf), which provides employers with a reference-checking framework that can be applied to financial advisers.

The handbook is designed to encourage industry
to seek and, when requested, provide reference-checking information to
help identify dishonest, incompetent or unethical financial advisers.

ASIC’s website now provides links to resources for reference checking.

 

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