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Codes, Standards and Guidelines
- The intention in future is to have a Code of Ethics and Conduct for all members and specific Standards which will be compulsory for members. By adhering to these Standards, members will undertake to develop processes and products that provide clients with a quality assurance that goes beyond the legislative and regulatory framework. Compliance with ASISA Guidelines will be voluntary but strongly encouraged; they will provide a guide to what is considered to be industry best practice in certain areas. This intended outcome has not been finalized and as a result there is only one compulsory Standard at present, the Standard on Disclosures for Critical Illness Products. All other Standards, as they go through the process below, will be voluntary for ASISA members until further notice.
- All the Codes, Standards and Guidelines of the former associations are being reviewed, combined or removed. Working groups under the relevant board committees have been set up to do this work.
- Following this, those that will be retained are to be checked by ASISA, with assistance from ENS, for compliance with The Competition Act.
ASISA will also engage with the FSB to get input and support. Thereafter the Standards will need to be approved by the relevant Board Committee as well as the ASISA Board. The FSB is in engagement with the Competition Commission about the status of industry Codes.
All ASISA Members
Collective Investment Scheme Industry
- Principles of Selecting Names for CIS
- FSB Questionnaire for Approval of FCIS
- FSB Guideline and Application of New Scheme and New Fund
- Completion of CIS Investment Mandates
- Guideline for applications ito CIS
- FSB New Scheme Guidance
- ACI Guideline - Draft CISCA Deed
- ACI Guideline - Independence of Trustee or Custodian of FCIS - Approved
Investment Management Industry
Life Insurance Industry
- ASISA Credit Life Insurance Guidelines - effective January 2013
- Group Risk Claims Experience Template - November 2011
Technical and Operational
- ASISA Valuation Guideline: Vanilla Money Market Instruments
- ASISA Valuation Guideline: Fixed Income Floating Rate Notes & Callable Bonds
- ASISA Valuation Guideline: Fixed Income Derivatives - FRAs & IRS
- ASISA Valuation Guideline: Complex Money Market Instruments
- ASISA Valuation Guideline: Equity Instruments
- ASISA Valuation Guideline: Equity Derivatives, Convertible Bonds, Equity Linked Notes
- ASISA Valuation Guideline: CFDs & Equity Swaps
- ASISA Valuation Guideline: Fixed Rate & Inflation Linked Bonds
- ASISA Valuation Guideline: Equity Derivatives: Equity Futures, Index Future & Equity Options