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.

Managing the Professional Year

Wednesday 28 July from 1.00 to 2.00pm

With so much time and focus on the FASEA exam requirements, it has been challenging to also consider the requirements for the FASEA Professional Year. This webinar will canvass key questions a licensee and supervisor needs to be able to answer, including how to set up a framework to undertake the key activities so you can demonstrate that the competencies have been acquired. What is required to set up the professional year plan? How is this broken down into quarterly obligations? What are the obligations of the supervisor and the licensee? Joel Ronchi from myIntegrity in Practice will step you through requirements, supported with ideas for practical plans and procedures.

Joel Ronchi, Principal Consultant, myIntegrity in Practice

A qualified financial adviser, Joel has been working in the training and education sector for over 15 years. Joel has specialised in helping Financial Professionals provide quality advice in a compliant manner through education and training aligned to the FASEA Standards, tailored Adviser Education Plans, FASESA exam preparation and licensee guidance on the Professional Year.

FASEA CPD: 0.50 hour Client care and practice 
FASEA CPD: 0.50 hour Professionalism & Ethics
RG146: 1.00 Specialist Knowledge – Financial planning

Webinar Attendees - Managing the Professional Year

28 July 2021 @ 01:00 pm – 02:00 pm

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

DDO – What’s next?

Wednesday 11 August from 1.00 to 2.00pm

Following on from the presentation in February this year, Corey McHattan will provide an update on the Design and Distribution Obligations coming into effect on 5 October. Following a recap of what products are in and out of scope of DDO and the important dates, Corey will then focus on distribution obligations of brokers in particular:

  • Reasonable steps obligations and the personal advice carve out
  • What issuers are looking for
  • Significant dealings
  • Complaints reporting

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

Webinar Attendees - DDO – What’s next?

11 August 2021 @ 01:00 pm – 02:00 pm

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

Electronic execution of documents

Wednesday 25 August from 1.00 to 2.00pm

There has never been a more important time for firms to be able to collect client signatures digitally. However, there has been a lot of change recently to laws surrounding electronic execution of documents as well as proposed reforms that are not yet enacted which have left many confused. While proposed changes to the Corporations Act will bring clarity to how companies can electronically execute documents and deeds, many client accounts are in the names of individuals and trustees. We are delighted to have Paul Derham return to address these concerns. He will outline policies that ensure clients can execute documents in a legally binding manner that is consistent and digital.

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: 0.5 hour Regulatory Compliance and Consumer Protection | 0.5 hour Client Care and Practice
RG146: 1.00 Generic Knowledge

Webinar Attendees - Electronic execution of documents

25 August 2021 @ 01:00 pm – 02:00 pm

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

Single Disciplinary Body

Wednesday 8 September from 1.00 to 2.00pm

The bill implementing the Single Disciplinary Body for financial advisers is currently before Parliament and is expected to come into effect on 1 January 2022. SAFAA CEO, Judith Fox and Policy Manager, Michelle Huckel will provide an overview of how the key aspects of the new regime will impact on advisers and licensees.

Judith Fox, CEO, SAFAA

Prior to joining SAFAA Judith was CEO of the Australian Shareholders’ Association (ASA), which promotes the interests of retail investors. Judith has extensive experience in capital markets and corporate governance. She was National Director, Policy & Advocacy at Governance Institute of Australia prior to joining ASA and has been a member of the ASX Corporate Governance Council since 2005. She was named as one of Australia’s 100 Women of Influence for her work in public policy in 2014.

Michelle Huckel, Policy Manager, SAFAA

Michelle worked as lawyer specialising in financial services law, IPOs and due diligence for mergers and acquisitions, before taking up the role of legal counsel and compliance manager at Shaw Stockbroking. Michelle previously worked as a policy adviser at Governance Institute of Australia. At SAFAA Michelle undertakes research and analysis for the development of advocacy initiatives and represents the association externally with government, regulators and other bodies.

FASEA CPD: 1.00 hour Professionalism & Ethics
RG146: 1.00 Generic Knowledge

Webinar Attendees - Single disciplinary body

8 September 2021 @ 01:00 pm – 02:00 pm

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

Private wealth management: global trends & future predictions

Wednesday 22 September from 1.00 to 2.00pm

Disruption is a term that gets thrown around a little too often these days, and yet it can’t be denied that the past decade has seen significant technological change. Much of this change will have far-reaching impacts on private wealth and investment management. Join Michael Blomfield from Iress as he explores the top four global trends and future predictions for the private wealth industry.

Michael Blomfield, Chief Commercial Officer, Iress 

Mike is a broking and wealth management industry veteran, having worked and led businesses across Asia, Australia, the US and the UK. He was previously CEO of CommSec, MD of APAC for MF Global, and CEO of Investment Trends globally. From 2010 to 2017 he was a committee member of the China County Bank Supervisory Committee that provided governance over the CBA’s 15 County Banks in Henan and Hebei provinces.

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

Webinar Attendees - Private wealth management: global trends & future predictions

22 September 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.


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