Earn CPD Points

Ethics CPD

  • CPD: Ethics – the ‘grey’ zone

    FASEA’s Code of Ethics seeks to impose ethical duties that go above the requirements of the law. It’s designed to encourage and embed higher standards of behaviour and professionalism in the financial advice industry[1]. However, while laws may be clear, anything open to subjective interpretation can be prone to ‘grey areas’ – not everything is black and white. In this article, proudly sponsored by GSFM, those grey areas are explored [...]

  • CPD: Ethics and investments

    Most clients cannot meet their financial objectives without the design and implementation of an investment strategy. Judging by complaint categories, this can be a contentious area and one in which ethical behaviour and absolute professionalism is paramount. This article, proudly sponsored by GSFM, examines the varied investment ‘suppliers’ and examines ethical practices through an investment lens. In developing its Code of Ethics, FASEA was focused on making sure financial advisers [...]

AdviserVoice/Zurich Risk CPD Series

  • CPD: Claims Advocacy – from ‘value add’ to core advice offering

    Introduction Compounding the impact of ongoing licensee consolidation and new professional development requirements, the LIF driven reshaping of adviser remuneration for life insurance advice – in the form of lower up-front commissions and higher renewal commissions – has left many advisers no choice but to rethink, and, in many cases, fine tune their business models. Typical adviser responses have included a heightened focus on the efficiency of advice delivery (and [...]

  • CPD: Five steps to client engagement in times of crisis – part two

    Uncertain times generally mean anxious clients. The double whammy of a health and financial crisis means the need for you to connect with clients is more important than ever, but comes at a time when face to face communication is not possible. The first part of this article, sponsored by Zurich Australia, examined the first three steps you can take to enhance client engagement at this time. This second part [...]