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Ethics for Advisers Series 2

Ep2: Where compliance ends and the Code begins

Tick a box approaches to compliance might not only be expensive and time consuming but they could also be holding advisers back from taking the next step in putting ethics into practice and advancement towards broader community trust and professional recognition, JB Were’s Kym Bailey and McMahon Clarke’s Selina Nutley discuss.

Participants: Kym Bailey, JB Were and Selina Nutley, McMahon Clarke Lawyers

Facilitator: Matthew Smith

Length: 48 mins

Take the QUIZ to earn your CPD points

Question 1
* Kym says based on her experience, a tick a box approach to compliance can detract from an adviser’s ability to:
Question 2
* Licensees taking a supervisory role of the code could hamper the advisers’ progress applying the code, according to Kym, if:
Question 3
* According to Selina, financial advisers working their way through the Code of Ethics now are trailblazers because:
Question 4
* Selina predicts the guidance around the Code of Ethics is likely to change as:
Question 5
* Working in the spirit of the Code and not trying to find ways to circumvent obligations, as Selina describes, is best encapsulated in:

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