TEN Shop products: conferences, subscriptions, books and papers, webinars, DVDs and CDs. Search Results
 Recorded Webinar: Ethics for Financial Advisers - Identifying Impermissible Benefits

Date: 17/2/20

 ABOUT THE WEBINAR
Once the Code of Ethics comes into effect on 1 January 2020, advisers will be 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, including:

  • Understanding what the obligations are up to 1 January 2020 and subsequently
  • Referring clients:
    • Can you refer to others in your network?
    • What happens if you refer your clients to an adviser who recommends your products?
  • Can you recommend your model portfolios to clients?
  • What client disclosures need to be made?
  • What disclosure is required where the adviser has an indirect financial interest (via a company or trust) in a financial product that is recommended?
 PRESENTER
Recorded Webinars,Financial planning,Recorded Webinar: Ethics for Financial Advisers - Identifying Impermissible Benefits

Grace Mitsioulis, Lawyer, Hall & Wilcox, Melbourne

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.

In relation to superannuation, Grace has advised on regulatory, compliance, disclosure documents, investment, and contractual issues, including acting in fund mergers and acquisitions.

 WHO SHOULD ATTEND?

This webinar is suitable for financial planners – Australia wide. This webinar is for practitioners with some knowledge in this area and looking to improve their knowledge.

 CPD 

Viewers are advised to read the technical paper accompanying this program prior to viewing the program.  That combined with viewing the program (40 minutes) will allow accountants to claim 1 CPD/Training hour.  FASEA – category “Technical Competence” – 1 hour.

 ENQUIRIES/ASSISTANCE
If you need assistance or have an enquiry, please do not hesitate to contact our Webinar Coordinator, Lisa Tran on (03) 8601 7709 or email: lisa@tved.net.au



© Television Education Network Pty Ltd 2022

Product Code: ZBZFEB20
 Price:  $198.00 (Inclusive of GST)
© 2022 Television Education Network Pty Ltd. All rights reserved. The program for this webinar is copyright and may not be reproduced in any form without the prior written consent of the copyright owner.