Ethics In Practice Web Series

4 part web series

The practical problems and solutions to applying the FASEA Code of Ethics in practice

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5 Ethics CPD Hours to help you meet your CPD requirements

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5 Ethics CPD hours
The updated Code of Ethics guidance
Code problem areas and the steps to protect yourself
Ethics and the adviser audit - the problem areas revealed 

Applying the Code of Ethics to your practice and your team is not easy. It can appear vague and the guidelines don’t readily translate into right and wrong.

The Ethics in Practice Web Series delivers an essential insight into how the Code and the recently updated guidance applies to the typical financial services, accounting, and converged practice.

Since 1 January 2020, ethics has been a part of every adviser audit. The issues advisers are experiencing interpreting the Code are starting to reveal themselves. This web series explores not only compliance with the Code in everyday practice but will help you identify the issues before they become a problem.

  • 5 Ethics CPD hours
  • Recording access for 3 months (just in case you can't make the live sessions)
  • Reference notes included

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Dates & details

Webinar 1 Monday, 30 November 2020
Webinar 2 Thursday, 3 December 2020
Webinar 3
Monday, 7 December 2020
Webinar 4 Thursday, 10 December 2020

Time for all sessions
12:00pm - 1:15pm AEDT in ACT, NSW, TAS & VIC
11:30am SA
11:00am QLD
10:30am NT
09:00am WA

Reference notes + recording access to 3 months

FPA Accreditation pending

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What we cover

Every authorised representative, full or limited, must complete 9 hours of ethics CPD every year. If you are a little... (ahem).. shy of those 9 hours, this essential webinar series creates 5 Ethics CPD hours while delivering an essential update on the Code of Ethics and what we now know about compliance with the Code and where advisers are getting it wrong.

 

Practical Expectations of the Code of Ethics in practice

  • The updated Code of Ethics guidance and the 12 Standards in practice
  • The critical areas of focus and how to realistically ensure compliance
  • How the Code fits into the advice process and the advice you give
  • Conflicts of interest – how to identify and manage conflicts
  • The common practices that breach the Code
Monday, 30 November 2020

12pm - 1:15pm AEDT (1.25 CPD hours)

Demonstrating Best Interest and Informed Consent

  • The interaction of the Code with your normal client engagement
  • Demonstrating informed consent
  • Best Interest Duty vs Code of Ethics - demonstrating client understanding
  • Best Interest Duty vs Code of Ethics - clients' interest and likely circumstances

Thursday, 3 December 2020

12pm - 1:15pm AEDT (1.25 CPD hours)

Fees, charges & ethics

  • Informed consent – are your fees right?
  • Managing 3rd party benefits
  • Fees – what is fair and reasonable and appropriately justified
  • Demonstrating compliance with the BID and the Code of Ethics

Monday, 7 December 2020

12pm - 1:15pm AEDT (1.25 CPD hours)

Protecting against an ethics audit

  • What to expect in an audit and how does ethics fit in?
  • Who is responsible, your AFSL, your practice, or you?
  • Practical examples that demonstrate how to evidence the Code in practice
  • A checklist of what must be in place to comply with the Code – are you audit ready?
Thursday, 10 December 2020

12pm - 1:15pm AEDT (1.25 CPD hours)

Our presenter

Conrad Gilbert

With Conrad Gilbert
CFP, Dip FP, B Comm, Grad Dip RS, MBA
Professionalism & Ethics Adviser
Knowledge Shop

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Conrad has spent his career working in and exploring financial advice and now brings the practical and technical together in his role with Knowledge Shop. Conrad works with accountants and advisers to navigate the practical impact of the new financial services regime on them, their practice and their clients.

A sessional academic at Griffith University, Conrad held senior executive roles with national financial planning networks and was a former financial advice specialist with BT and Cooper Reeves.

Conrad holds an MBA from the University of Qld, a Bachelor of Commerce from Griffith University and a Diploma of Financial Planning (DipFP) with Deakin University.

 

If you have to do CPD, make it worth your time 

Practical, transferable training delivered by industry specialists

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Investment

Need group rates? Call (or email) Lee Marshall on 0434 067 133.
GPS Wealth, Merit Wealth & SMSF Expert, please contact your AFSL or call us on 1800 800 232 for your discounted rate.

Member

Reference notes and recording access for 3 months

  • $390 + GST individual access
    ($429 GST incl)
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Non-Member

Reference notes and recording access for 3 months

  • $480 + GST individual access
    ($528 GST incl)
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Terms & conditionsAll registrations to Knowledge Shop events are subject to our terms and conditions which include a cancellation policy. No refunds are provided for cancellations received 1 day prior to the online workshop. No credits are available less than 2 hours prior to the start of the online workshop under any circumstances.