ONLINE FINANCIAL PLANNING CPD

Ethics for Financial Advisers

Complete your 9 hours in the FASEA Competency of Professionalism and Ethics

TELEVISION EDUCATION NETWORK

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IDENTIFYING IMPERMISSIBLE BENEFITS | THE FINANCIAL PLANNERS AND ADVISERS CODE OF ETHICS 2019

The ethics landscape for financial planners has well and truly changed. Are you ahead of the curve? With compliance with FASEA’s Code of Ethics now mandatory, it has never been more important for advisers to understand their ethical duties.


Once the Code of Ethics came into effect on 1 January 2020, advisers were prohibited from receiving benefits from third parties other than their principals. This session examines what might constitute a ‘benefit’ having regard to a number of practical scenarios.



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Whitepaper | Identifying Impermissible Benefits

THIS IS JUST ONE OF THE MODULES IN THE COMPLETE ONLINE FINANCIAL ADVISERS ETHICS CPD COURSE.


Complete your 9 hours in the FASEA Competency of Professionalism and Ethics via the full online course.



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5 Modules

Understanding the Code of Ethics

The Code of Ethics enshrined in section 921E of the Corporations Act 2001 has a complex enforcement mechanism. This session explains the new landscape and explores which authorities are involved in monitoring compliance activities and the enforcement system.

Identifying Impermissible Benefits

Show Me the Money! Adviser Remuneration Post-2019

The Ethical Conundrums of Client Capacity

Acting in Best Interests – What Does That Entail?

Seismic changes in the permitted remuneration framework since 2012, culminating in the introduction of the Code of Ethics from 1 January 2020, have left advisers asking what is permissible in charging establishing fee structures for clients.

Once the Code of Ethics came into effect on 1 January 2020, advisers were prohibited from receiving benefits from third parties other than their principals. This session examines what might constitute a ‘benefit’ having regard to a number of practical scenarios.

Standard 2 of the Code of Ethics commencing on 1 January 2020 requires that advisers act with integrity and in the best interests of their clients. This session explores what is encompassed by this requirement.

Capacity is fundamental to a client’s ability to give instructions to their adviser. This session explores the fundamental elements of capacity, the key ethical challenges it presents, and how an adviser can best ensure that their client is capable of providing instructions.

We have been doing this for a long time. The delivery of Professional Education and Compulsory CPD is us. We have been here since 1975.

OVER 45 YEARS IN PROFESSIONAL EDUCATION

Why Television Education Network

EXPERT SPEAKERS

Our speakers are experts in their field. We take pride in sourcing the best professionals to present our programs.

HISTORY IN ETHICS

Our legal focus and background makes us the perfect educator for the compulsory units in this field.

Webinars are something we know. We have been delivering them since 2012. With over 250 new webinars delivered yearly using state of the art technology - we just keep getting better.

TECHNOLOGY

EDUCATION

Along with the webinars, you will receive the technical papers and online tests. CPD Certificates are issued on successful completion of each module. Easy tracking for compliance.

9 hours in the FASEA competency of professionalism and ethics

FASEA COMPLIANCE

JUST SOME OF OUR SPEAKERS

5.0

DEEN SANDERS

Deloitte, Sydney

Dr Deen Sanders OAM is the Ethics and Professionalism leader for the Deloitte Governance, Regulation and Conduct group.


Before joining Deloitte he was the inaugural CEO of FASEA, developing the blueprint for the professional standards and ethics regime in financial advice.

Chris specialises in superannuation and financial services advice for a broad range of industry participants, including public offer and public sector superannuation funds, corporate funds, responsible entities, worker entitlement funds and their service providers.

Partner, Mills Oakley, Melbourne

CHRIS KETSAKIDIS

Grace has taken a particular interest the professionalisation of the financial advice industry. She has advised on the Professional Standards of Financial Advisers legislation and the practical impact that the FASEA Code of Ethics will have on the industry. Grace has broad experience advising on licensing, disclosure and compliance in relation to Chapter 7 of the Corporations Act.

Lawyer, Hall & Wilcox, Melbourne

GRACE MITSIOULIS

THE BEST ETHICS SPECIALISTS

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Complete your compulsory ethics units before June 30 - from the convenience of your home or office.

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