Home>Ethics for Advisers Series 2>Ep6: Self regulation is still a way off

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

For questions please contact professionaleducation@conexusfinancial.com.au

Ethics for Advisers Series 2

Ep6: Self regulation is still a way off

Save Article

If the success of the Code of Ethics is marked by an industry that can self regulate and hold itself to account then we are a way off, Paul Moran, principal of self-licensed Moran Partners in Melbourne describes alongside UNSW’s Tracy Wilcox. Moran raises the possibility that a transition to this future state could be aided by a two-tiered approach to regulation.

Participants: Paul Moran, Moran Partners Financial Planning and Tracy Wilcox, UNSW Business School

Facilitator: Matthew Smith

Length: 42 mins

Take the QUIZ to earn your CPD points

[rdp-linkedin-login]
Question 1
* How far off is a version of self regulation where advisers can be awarded safe harbor if they’re able to agree on practical operational guidelines set up by the industry, according to Paul?
Question 2
* According to Tracy, an idea situation from a community perspective between the advice community and the clients’ communities would be:
Question 3
* Paul’s suggestion for a two-tiered approach to regulation could involve:
Question 4
* To be able to effectively self regulate the advice industry needs a representative body with what defining feature, according to Paul:
Question 5
* According to Tracy, sampling could be an appropriate form of regulation when:

Subscribe now to

logo
ii



    Our partners

    Related Episodes

    Self-regulation is still a way off

    Learning new tricks: FASEA uplift part of the journey

    Ep5: Documentation: The bridge to the other side

    Ep4: Community is the advice industry’s superpower

    Professional Planner is the leading voice for financial planners where they can learn about industry standards, get news, information, debate and develop new ideas.

    We acknowledge the Traditional Custodians of this land upon which Conexus Financial sits, the Cadigal of the Eora Nation. We recognise their continuing connection and unique cultural and spiritual relationships to the land, waters and community. We pay our deepest respects to them and their culture, and to Elders both past and present.

    Share This Article