Listen to the podcast episodes and complete each quiz to earn CPD hours.

On each podcast page, scroll down to access the quiz: you can complete it online after listening to the podcast. Please contact us on if you have any questions.

Principals in Practice Podcast Series

The regulatory squeeze – Shaping an industry

One year on, how have the Red October regulatory changes affected the advice ecosystem and will the Quality of Advice Review have any further impact? Has the pendulum swung too far and how serious are regulators about pulling it back?

Sean Graham – Sean is a financial services lawyer with over 20 years’ experience and the managing director of Assured Support, a fiercely independent compliance and risk consultancy. His experience, insight and vision equips him to lessen the burden of compliance and provide advisers and licensees with market leading services, innovative solutions and peace of mind.

Gabriela Pirana – Gabriela is a senior associate at QMV Legal where she assists superannuation trustees in delivering quality retirement outcomes to their members through good governance, timely regulatory compliance and pragmatic legal advice. As part of her practice, Gabriela assists with risk and compliance issues related to the provision of financial advice, including controls, training, incident management, breach assessments and complaint management.

Chris Dastoor – Chris is the editor of Professional Planner and a Sydney-based financial services journalist with a focus on financial planning. He writes on advice, superannuation, investment, and risk insurance issues.

Take the QUIZ to earn your CPD points

Question 1
Gadens/Lawcadia research about breach reporting discovered what?
Question 2
According to Sean what makes DDO useful?
Question 3
According to Gabriela, reference checking is critical to?
Question 4
Gabriela would encourage licensees to read which document?

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