CPD webinars

SAFAA accredited CPD webinars are offered free to Principal, Practitioner and Affiliate members. Content will be delivered via panels, interactive discussion, presentations and quizzes and to be eligible for CPD you will need to participate in the webinar live.

These will be held on the second and fourth Wednesdays from 1.00pm with additional sessions from time to time. Webinars will include the opportunity for Q&A as well as a brief quiz for CPD accreditation.

Harness demographic trends shaping global growth

Wednesday 9 February 2022 from 1.00pm to 2.00pm AEDST

In a world that is changing rapidly, demographics are structural, visible and long-term mega trends which we can use as a compass for investing for the future.  Join Lauren Jackson, as she sits down with Oliver Hextall, UK based Portfolio Manager of the Fidelity Global Demographics Fund, as they discuss the demographic themes of longer lives, better lives and more lives and where they are finding exciting new investment opportunities that capture these themes.

Lauren Jackson, Director and QLD Sales Manager, Fidelity International

Lauren has over 20 years’ experience working in the financial services sector, and holding diverse roles with leading institutions such as BT Financial Group, Tower Trust (now Australian Executor Trustees) and Mariner Financial. Lauren joined Fidelity International in 2008, with a focus on building Fidelity’s brand profile and distribution throughout Queensland by providing support to both aligned and non-aligned financial advisory practices as well as working with small superannuation funds. Throughout the last few years, her role has also expanded to build out the distribution of Fidelity’s Active ETFs.

FASEA CPD: 1.00 hour Technical competence
RG146: 1.00 Generic Knowledge

Webinar Attendees - Harness demographic trends shaping global growth

9 February 2022 @ 01:00 pm – 02:00 pm

Non-Member: $55.00
Organisation Member: $0.00
Practitioner Member: $0.00

Thematic investing: Harnessing disruptive technology trends in client portfolio’s

Thursday 17 February from 1.00 to 2.00pm AEDT

The convergence of several disruptive technologies – such as robotics and AI, electric mobility, as well as the blockchain – is creating unprecedented opportunity, while also upending many long-standing industries. At the same time, new generations of consumers with distinct preferences are rapidly changing demand for key staples, such as food, water and health care, as well as immersive experiences via the digital economy. Meanwhile, an evolving relationship with the physical environment is heralding an era of unique challenges as we grapple with climate change and modernizing our infrastructure. Tim Reimers from the Global X research team will explore these changes and identifies what they believe will be among the most critical developments for 2022 and beyond. 

Tim Reimers, Head of Wealth Distribution, Global X

Tim Reimers joined the Global X ETF’s & Mirae Asset Global Investments two years ago. His role involves working with Investment Advisers, Private Banks and Family offices to educate them on the investment product offering and provide insights into the latest in thematic investing and emerging markets. Tim’s career in financial services has spanned ten years with his first role starting at Suncorp Bank.  Since then, he has held roles with Goldman Sachs & Russell Investments and DDH Graham.


FASEA CPD: 1.0 hour Technical competence
RG146: 1.0 Generic Knowledge


This webinar is open to financial members only.  Member, please log in to register

Reference checking and information sharing protocol

Wednesday 23 February from 1.00pm to 2.00pm AEDST

On 1 October 2021 a new reference checking and information sharing protocol came into effect. As advisers start to move around, compliance/legal/human resources/operations staff need to understand the new obligations which are quite detailed. Advisers also need to understand the new requirements as it involves them. Issues arising include what to provide when requested to provide full copies of audit findings for the relevant adviser. Should only adverse findings, rather than the entire file, be provided? Are concerns about the breadth of the qualified privilege defence valid?

Samantha Hills, Senior Associate, Holley Nethercote

Sam has been with Holley Nethercote since 2000 and works primarily in financial services law. Sam provides legal services to a range of financial services clients, including financial planning dealer groups, limited licensees, property developers and insurance telemarketers. For many years, Sam has overseen the preparation of and contributed to Holley Nethercote’s T-REX, a tailored regulatory update service. This monthly service explains developments in financial services law, policy and practical impacts on businesses.

FASEA CPD: 1.0 hour Professionalism and ethics
RG146: 1.0 Generic Knowledge

Webinar Attendees - Reference checking and information sharing protocol

23 February 2022 @ 01:00 pm – 02:00 pm

Non-Member: $55.00
Organisation Member: $0.00
Practitioner Member: $0.00

Suspicious matter reporting

Wednesday 9 March from 1.00pm to 2.00pm AEDST

One of your most important anti-money laundering and counter-terrorism financing obligations involves the reporting of suspicious matters to AUSTRAC. Richard Lee, Director of the Industry, Education & Outreach team at AUSTRAC, will provide you with an overview of these reports, including what AUSTRAC is seeing, some do’s and don’ts when reporting and how they play a critical role in protecting the financial system and our community from serious crimes.

Richard Lee, Director of the Industry, Education & Outreach team, AUSTRAC

Richard has been with AUSTRAC in regulatory leadership roles for over ten years and has regulatory and law enforcement experience through prior roles with the Australian Securities & Investments Commission, the Australian Prudential Regulation Authority and the Australian Federal Police. His team’s role involves providing education and guidance to reporting entities to help them build capability in meeting their anti-money laundering obligations and managing their money laundering risk.

FASEA CPD: 1.0 hour Regulatory compliance and consumer protection
RG146: 1.0 Generic Knowledge

Webinar Attendees - Suspicious matter reporting

9 March 2022 @ 01:00 pm – 02:00 pm

Non-Member: $55.00
Organisation Member: $0.00
Practitioner Member: $0.00

An update on DDO implementation

Wednesday 16 March from 1.00pm to 2.00pm AEDST

Six months will have passed since the introduction of the DDO regime. What is the feedback and how is the industry faring? In addition to providing an update on DDO implementation, Corey McHattan, a partner with Ashurst, will also discuss how to address the challenges of undertaking the reasonable steps obligations for general and non-advice clients and the danger of straying into personal advice. This webinar will provide a great opportunity to clarify those areas most concerning you.

Corey McHattan, Partner, Ashurst


Corey is a highly experienced regulatory lawyer, specialising in the areas of financial services regulatory advice, structured products, market infrastructure and regulatory investigations and enforcement. Corey’s primary clients include leading investment banks, trading banks, and other financial institutions whom he advises on matters involving financial services regulation in areas such as the issue of retail and wholesale structured products, ASX participation issues, regulatory investigations, compliance queries, general commercial matters and mergers and acquisitions in the financial services sector.

 

FASEA CPD: 0.5 hour Regulatory compliance and consumer protection | 0.5 hour Professionalism and ethics
RG146: 1.00 Generic Knowledge

Webinar Attendees - An update on DDO implementation

16 March 2022 @ 01:00 pm – 02:00 pm

Non-Member: $55.00
Organisation Member: $0.00
Practitioner Member: $0.00

If you experience any difficulty with your online registration, please call our office on (02) 8080 3200.

Supporters

Thanks to the following organisations who are supporting SAFAA’s webinar program during 2021.

Interested in sponsoring?

For more information

Email education@stockbrokers.org.au

Telephone 02 8080 3200