CPD: Ethics and investments

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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... Read more

CPD: Ethics and your referral partners

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Most financial advice practices have referral partners they send business to, or receive business from. You may also use any number of third party outsource providers for non-client facing elements of your service offering. This article examines your obligations with respect to those relationships and FASEA’s Code of Ethics. Ethics and trust go hand in... Read more

CPD: An ethical framework for the remote practice

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At the beginning of 2020, few would have imagined having to implement business continuity plans and establish remote offices before the first quarter was out. In this article, sponsored by GSFM, we examine the processes you need to implement to ensure your remote practice abides by FASEA’s ethical framework and specifically, its Code of Ethics.... Read more

CPD: The client driven ethical breach

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The 2018 Royal Commission into Misconduct in the Banking, Superannuation and Financial Services Industry (Royal Commission) highlighted numerous situations in which an absence of ethical behaviour was apparent. However, what happens when a financial adviser is instructed to perform an action by their client and cannot act on that instruction without breaching an ethical standard?... Read more

CPD: Ethical obligations in a financial advice practice

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On 1 January 2020, FASEA’s code of ethics became enforceable by law, requiring advisers to comply with its 12 detailed standards. Each standard is explored in detail in FASEA’s guidance. This article, sponsored by GSFM, examines the implications of this in practice and explores ways to ensure your practice and all who work within it... Read more