Listen to the series by clicking on the episodes below, answer the questions and earn 4.5 Professionalism & Ethics FASEA CPD hours

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Ethics for Advisers

Code whispering 101

Reading the Code of Ethics through the eyes of a lawyer won’t work. Dr Katherine Hunt gives insight into how advisers can use the principals of the Code to guide and strengthen their decision-making. Felicity Cooper describes how her independently-owned business model enables a better ethical outcome than brokerage models she’s worked in previously.

Participants: Dr Katherine Hunt, Felicity Cooper

Facilitator: Matthew Smith

Length: 48 mins, 52 seconds

Take the QUIZ to earn your CPD points

Question 1
* What are the two important steps the advice industry needs to take in order to be considered a profession, according to Katherine Hunt?
Question 2
* Why does Katherine Hunt suggest it might be easier for advisers in smaller advice firms not aligned or owned by product providers to meet their obligations under the code of ethics?
Question 3
* Overlapping topics in the Code of Ethics effectively emphasises areas advisers should prioritise in terms of importance, according to Katherine Hunt. What are the two biggest overlapping issues Hunt highlights in the Code?
Question 4
* When it comes to advising multiple members of the same family with conflicting goals, Felicity Cooper has found that the only way she can be her client’s best advocate is:
Question 5
* A financial adviser who is also a tax accountant could in theory recommend a client start an SMSF which this accountant also receives payment for the admin, accounting and tax-work for – according to Katherine Hunt – if:

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