The Financial Planning Association of Australia The Financial Planning Association of Australia

Whistleblower Policy

The Financial Planning Association of Australia Limited (FPA) is committed to promoting a culture of corporate compliance and high ethical behaviour.

The FPA has introduced a Whistleblower Policy (WB Policy) which is intended to provide a mechanism for the reporting of concerns regarding alleged unlawful conduct or other misconduct (as set out in the WB Policy) that may be occurring at the FPA. The Corporations Act 2001 (Cth) includes legal protections for certain individuals if they make reports in relation to certain conduct and matters. The WB Policy includes further details and guidance on this. The information below is a summary only and is not intended to replace or displace the WB Policy. For further information you are encouraged to read the WB Policy.

Can I make a report under the WB Policy?

“Eligible Whistleblowers” can make a report under the WB Policy. An “Eligible Whistleblower” is an individual who is a current or former:

  • employee of the FPA (including agency staff);
  • officer of the FPA (e.g. director or company secretary);
  • supplier of services or goods to the FPA;
  • contractor or consultant of the FPA (including the contractor’s or consultant’s employees); or
  • Associate of the FPA.

In addition a relative, dependant or spouse of an individual referred to in paragraph (a)-(e) above may also be an Eligible Whistleblower.

What type of conduct is covered?

The WB Policy defines what type of conduct can be reported under the WB Policy. This includes actions or conduct in relation to the FPA which are involves misconduct or an improper state of affairs or circumstances in relation to the FPA including conduct which is:

  • fraudulent;
  • negligent;
  • a breach of trust or duty;
  • dishonest and unethical;
  • detrimental to the FPA and could cause financial or non-financial loss;
  • an offence against or a contravention of the laws set out in the WB Policy;
  • a danger to the public or the financial system.

Some types of matters will not be covered by the WB Policy.

How can I contact the FPA to make a report?

Eligible Whistleblowers can make a report using various means. The WB Policy sets out the ways in which a report can be made.

Download Whistleblower Policy