Webinar 1

Applied ethics, professional reasoning, and communication

So, you think ethics is ‘soft’? We explore the  requirements under FASEA and the border line issues that will test your knowledge and compliance with the Code.

• The FASEA Code of conduct – what you are required to do and how you need to act?
• The Code of Ethics explored:
  • The Code’s impact and importance for planners and advisers
  • What the code means in real life client scenarios – dilemmas and issues
• Applying the Code and your professional standards
• Acting in the best interests of your client – what that really means
• Due diligence and your clients files and records – the essential internal processes to maintain compliance
• Putting ethics in practice
• Scenario based interactive Q&As throughout.

Series 1: Monday, 1 June 2020 at 10am - 12pm (allow up to 12.30pm) AEST

Series 2: Wednesday, 22 July 2020 at 10am - 12pm (allow up to 12.30pm) AEST

Reference notes and worked Q&As included.

Webinar 2

Financial Advice Construction

• Key steps in the advice process
• When are you giving advice?
• Fee disclosure and renewal requirements
• Identifying and aligning advice to different consumer groups
• Understanding the environment in which financial product advice is sought and given for new and existing clients
• Key documentation requirements
• Meeting your client best interest duty
• Preventing misconduct and inappropriate advice
• Evaluating and applying advice strategies for different retail clients
• Scenario based interactive Q&As throughout.

Series 1: Tuesday, 2 June 2020 at 10am - 12pm (allow up to 12.30pm) AEST

Series 2: Thursday, 23 July 2020 at 10am - 12pm (allow up to 12.30pm) AEST

Reference notes and worked Q&As included.

Webinar 3

Financial Advice Regulatory and Legal Obligations

• Obligations under Chapter 7 (financial services and markets), Corporations Act 2001
  • The Statement of Advice (SOA) and the essential requirements
  • Implications of breaching the financial disclosure obligations
  • Breaches and the notification obligations – when a breach has occurred and what you need to do
  • The legal requirements for individual and licensee
• Anti-money laundering and the Counter-Terrorism Financing rules – the legal requirements when providing advice
• Privacy obligations under the Privacy Act when providing financial advice
• Compliance with the Tax Agents Services Act requirements as a registered Tax Adviser
• Scenario based interactive Q&As throughout.

Series 1: Thursday, 4 June 2020 at 10am - 12pm (allow up to 12.30pm) AEST

Series 2: Friday, 24 July 2020 at 10am - 12pm (allow up to 12.30pm) AEST

Reference notes and worked Q&As included.

Investment

Per person:

• $420 (GST incl) 
• $375 (GST incl) - Knowledge Shop members

Need group rates? Call (or email) Daniel Saphra on 0421 257 753.

Each registration includes:

• Webinar 1 - Applied ethics, professional reasoning, and communication
• Webinar 2 - Financial Advice Construction
• Webinar 3 - Financial Advice Regulatory and Legal Obligations
• All webinars include reference notes and a comprehensive Q&A booklet to explain why the answers are the answers
• Recording access for 3 months

The FASEA Exam Prep Live Online Web Series will be accredited by the Financial Planning Association and CPE certificates issued to all registrants for completion of each module.

Webinars are not available to purchase separately.

Knowledge Shop members, please login for the discounted rate.