Codes of practice and professional standards

I draft and review codes of practice, professional standards and practice guidance for financial services professions. Every clause gets the same three tests: can a practitioner use it, will a regulator respect it, and can the board defend it?

 

What does a good code of practice need?

Obligations practitioners can apply on a busy day, commitments that mean something to the people they serve, and room for professional judgement. A code that tries to define every situation fails the first test. One that defines nothing fails the second. The skill is knowing which questions the code should answer and which it should leave to the profession.

 

What does a code review involve?

• Gap analysis. The current code against the law, regulator guidance, peer codes and international standards.

• Drafting. Plain-English obligations, with the reasoning recorded so the next review can see why each clause exists.

• Consultation. One or two rounds with members and stakeholders, designed so the feedback is usable.

• Reporting back. What you heard, what changed and why. This is the step most reviews skip, and the one that builds trust.

• Implementation guidance. So members know what to do on day one.

 

Who is this for?

Associations, professional bodies and standards setters. Most of my work is in financial services (insurance broking, financial advice and planning, life insurance), and the approach works for any profession with a code, from conveyancing up.

 

Do you work outside Australia?

Yes. I've written practice guidance for the global FPSB network, and I work with associations in New Zealand.

 

Examples

• Practice Guidance Note: Use of AI in Financial Planning (FPSB). Primary author, built on research across 3,700+ CFP professionals in 24+ territories. Published June 2026.

• Insurance Brokers Code of Practice review (NIBA). Drafting the revised Code across a two-round consultation.