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Member Conduct & Discipline

 

overview

The SMSF Professionals' Association of Australia Limited (SPAA) is a self-regulating professional association whose members voluntarily agree to be bound by various professional, technical and ethical standards.

These standards aim to ensure that the self-managed superannuation fund (SMSF) advisory profession exercises the highest level of professionalism; providing a quality of service that credible, up to date and relevant. SPAA's members can be confident that the advice they provide instils confidence in SMSF consumers, government, regulators and other stakeholders. SPAA's SMSF Specialist Advisor™ and SMSF Specialist Auditor™ accreditation is the consumer's choice when selecting an advisor for their SMSF.

SPAA members are required to conduct themselves in a professional business-like manner at all times. These Conduct and Disciplinary Procedures are the expected minimum requirement for all SPAA members.

The Conduct and Disciplinary Procedures are designed to ensure that any complaints and disciplinary processes are handled effectively, expeditiously, and in a manner that observes the principles of natural justice and procedural fairness.

The Conduct and Disciplinary Procedures are to be read in conjunction with the Constitution, the SPAA Accreditation Program SMSF Specialist Auditor™ Rules and Conditions, the SPAA Accreditation Program SMSF Specialist Advisor™ Rules and Conditions and the SPAA SMSF Specialist Auditor™ Standards of Professional Conduct for SMSF Specialist Auditors™ (including By Laws).

Download the SPAA Conduct & Disciplinary Procedures

lodging a complaint

Complaints may be made by any person and are to be made directly to the CEO of the SMSF Professionals' Association of Australia Limited to either of the following addresses:

PO Box 6540, Adelaide, South Australia; or,
SPAA House, Level 1, 366 King William Street, Adelaide, South Australia, 5000.

The Complaint must:

  • be in writing;
  • clearly identify the member against whom the complaint is made;
  • clearly outline the exact nature and detail of the complaint;
  • be accompanied with documentary evidence supporting it;
  • show the name and address of the complainant; and
  • be signed by the complainant.

SPAA COMPLAINTS REGISTER