Ethics and Financial Advice: The Final Frontier

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I attach a report entitled “Ethics and Financial Advice: The Final Frontier” recently released by me to key stakeholders in the Financial Services Sector. The report outlines the results of (my) Empirical PhD research, one of the first studies of its kind in the world. I think the research provides unique insight into: The most […]

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Removing the roadblocks to quality financial advice

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There are numerous legal and ethical risks related to the provision of financial advice to Australian consumers, all of which may impact on the quality of financial advisory outcomes that Australians receive. The issue for many Australian financial services (AFS) licensees is the appropriate identification and management of those risks, thus removing some of the […]

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How to build organisational resilience to ethical risk using integrity based mechanisms and culture

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Whilst tactics to remain competitive in a modern commercial environment often influence the belief that behaving ethically is not profitable, I like to think that a series of global financial and corporate scandals involving the James Hardie Group, HIH and the Australian Wheat Board has accelerated a new social mantra, that society expects business to […]

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Professionalism and Ethics in Financial Planning

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Financial planning advice is becoming increasingly relevant to the economic objectives of Australians. However, the evidence suggests there are numerous ethical risks related to the provision of that advice and other factors that may be influencing the ethical decision making of financial planners and compliance officers in their respective roles. The purpose of this study […]

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