CPD: Ethics and the use of listed securities

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Over the last decade there’s been an explosion in the number and types of listed products available to Australian investors. There’s been a commensurate increase in the number of investors – and financial advisers – using listed securities and products in diversified portfolios. This article, proudly sponsored by GSFM, examines some of the ethical issues

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28 Sep 2020

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CPD: Ethics – the ‘grey’ zone

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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

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18 Aug 2020

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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

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17 Jun 2020

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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

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02 Jun 2020

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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.

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27 Apr 2020

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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?

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09 Apr 2020

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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

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19 Feb 2020

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CPD: Ethics and financial abuse – responsibilities and strategies for financial advisers

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It’s hard to imagine, but statistics show up to 10 per cent of older Australians experience elder abuse. This may be financial, legal, emotional, physical or plain neglect. Sadly, much of this abuse hidden in families, where the majority of perpetrators lurk, and victims don’t know how to stop it. Financial abuse of elders is

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29 Oct 2019

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