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Recorded Webinars
Recorded Webinar: Ethics for Financial Advisers - Identifying Impermissible Benefits
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:
PRESENTED BY
Grace Mitsioulis
Lawyer, Hall
Date/Time
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?
Presented By
Grace Mitsioulis
Lawyer, HallWho 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 Information
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: [email protected]