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.

Why invest in global emerging markets

Wednesday 28 April from 3.00 to 4.00pm AEST

Alex Duffy has been the portfolio manager of the Fidelity Global Emerging Markets Funds since 2013. Whilst he believes that the global economic recovery from the COVID-19 fallout has been led by developed markets and emerging Asia, spearheaded by China, looking ahead he believes that catchup trade will ripple out across emerging markets. Alex will talk about reasons to invest in global emerging markets and will also take a deeper diver into the fund, the stocks that make up the portfolio and its performance.

Alex Duffy, Portfolio Manager, Fidelity Global Emerging Markets Fund (FID0031AU)

With over 14 years of investment experience Alex Duffy joined Fidelity in 2004 as a European Business Services Analyst. In 2005, Alex joined the EMEA team as a research analyst covering raw materials and natural resources. In 2007, he took over management of an EMEA pilot fund while retaining research responsibility for natural resources. He was appointed co-manager of the Latin America pilot fund, alongside Angel Ortiz, in 2008. In April 2009 he was appointed co-manager of the Fidelity Funds Latin America Fund. Since 2013, and in addition to his Latin American regional responsibilities, Alex has been developing a global emerging market strategy.

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

Webinar Attendees - Why invest in global emerging markets

28 April 2021 @ 03:00 pm – 04:00 pm

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

Compliance pick’n’mix

Wednesday 12 May from 1.00 to 2.00pm

Some important regulatory changes are coming into effect this year. The forward fee and independence disclosure requirements come into effect on 1 July 2021. The new breach reporting provisions that impose greater obligations upon licensees come into effect on 1 October 2021. And the Design and Distribution Obligations regime comes into effect on 5 October 2021. Michelle Levy from Allens will unpack the impact that these new obligations will have on stockbrokers and investment advice firms.

Michelle Levy, Partner, Allens

Michelle specialises in superannuation, life insurance, distribution and financial services law. Michelle’s recent work includes working with her clients on their Future of Financial Advice and Stronger Super projects, developing new financial products and distribution arrangements. Before joining Allens, Michelle was a partner at King & Wood Mallesons. Michelle is a regular contributor to various journals and publications including Financial Services Newsletter and the Superannuation Law Bulletin. She co-authored the LexisNexis FoFA Handbook. Michelle is a member of the Law Council of Australia’s Superannuation Committee.

FASEA CPD: 1.00 hour Regulatory Compliance and Consumer Protection
RG146: 1.00 Generic Knowledge

Webinar Attendees - Compliance pick’n’mix

12 May 2021 @ 01:00 pm – 02:00 pm

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

Building climate-ready portfolios with ETFs

Wednesday 26 May from 1.00 to 2.00pm

While the momentum behind sustainability is remarkable, it is still the beginning of a long journey. An estimated $50 to $100 trillion in capital investment is required to rebuild a “net zero” global economy. In this session, Marie Tsang will discuss how climate change will impact investors, why ETFs can play a critical role I helping investors navigate these risks and how investors can use ETFs to build climate aware portfolios.

Marie Tsang CFA, Vice President, Black Rock

Marie is a Senior Investment Strategist in the BlackRock Portfolio Analysis and Solutions (BPAS) team within the iShares ETF and Index Investments (EII) business. Marie is responsible for delivering outcome-focused solutions to clients in the APAC region, providing thought leadership and advice on portfolio construction and risk management. Prior to joining BlackRock in 2019, Marie was an Account Manager in the Global Relationship Group at Wellington Management, responsible for coverage of clients, prospects and consultants in Australian and New Zealand. She has also previously held roles at The Global Fund in Switzerland and AMP Capital in Australia.

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

Webinar Attendees - Building climate-ready portfolios with ETFs

26 May 2021 @ 01:00 pm – 02:00 pm

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

General v Personal advice

Wednesday 9 June from 1.00 to 2.00pm

What constitutes general advice on the one hand and personal advice on the other can be challenging territory for advisers to negotiate. It is also an area of confusion for clients. What are the red flags an advisor must look out for when giving general advice to ensure they are not straying into the territory of personal advice? How can they ensure that they comply with the regulatory requirements around general advice? Are there ways that they can explain the differences between general and personal advice to clients? What are the learnings for advisers and compliance staff from the recent High Court decision about the boundaries between personal and general advice?

Paul Derham, Partner, Holley Nethercote

Since 2001 Paul has been helping clients in the financial services industry to meet their legal and compliance obligations. Paul regularly assists businesses acquire their Australian Financial Services Licences (AFSL) and build robust governance systems to help them stay out of court, and out of the hands of regulators. Paul completed his Arts/Law degree with honours in law in 2004, became a solicitor in 2005 and holds a Diploma of Financial Planning.

FASEA CPD: 1.00 hour Regulatory Compliance and Consumer Protection
RG146: 1.00 Generic Knowledge

Webinar Attendees - General v Personal advice

9 June 2021 @ 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