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.
Thursday 29 October from 1.00pm to 2.00pm AEDT
In response to popular demand, we are delighted to bring Steve Mark back to deliver a second ‘Ethics in action’ webinar. The August FASEA exam results highlighted a number of areas of challenge for advisers in relation to ethics, including:
- applying Standard’s 2, 4 and 12 of the Code of Ethics to advice scenarios; and
- demonstrating an understanding of an adviser’s ethical obligations when advising on complex family structures.
FASEA has released revised guidance on the Code of Ethics, but the real test has always been and is the application of the code in day-to-day practice. Using case studies, Steve will outline approaches to help you apply the Code as well as sit the FASEA exam with greater confidence.
Steve Mark, Director, Creative Consequences
Steve is a lawyer by profession, having initially studied in America, the country of his birth, and subsequently in Australia. He has practiced law in both Australia and the UK. Prior to establishing Creative Consequences in 2013, Steve served in a number of roles including NSW Legal Services Commissioner, President of the NSW Anti-Discrimination Board and lecturer in the law faculty of Macquarie University. In 2014 he was appointed a Member of The Order of Australia for his contribution to law, legal regulation, indigenous people and the community. In 2019, together with Tahlia Gordon, they developed a Master’s Degree level ethics course for financial advisors that has been approved by FASEA and for the last four years has lectured ethics at UNSW law school.
FASEA CPD: 1.00 hour Professionalism and ethics
RG146: Generic Knowledge
Wednesday 4 November from 1.00pm to 2.00pm AEDT
The FASEA exam asks advisers to show their understanding of key regulatory and legal requirements and how they apply when dealing with clients. These include advisers demonstrating an understanding of the difference between personal advice, general advice and factual information and how they apply to different client scenarios; assessing whether advice recommendations meet the client’s best interests; and assessing the impact conflicts of interest may have on advice recommendations. Hear three top compliance experts from our industry talk about how these requirements apply at the coalface. You can prepare for the FASEA exam and gain insight for your ongoing practice.
Please note this webinar is open to members only.
Stewart Adams, Head of Legal and Compliance, JBWere
Stewart is Head of Legal and Compliance for JBWere, a business he joined in early 2019. Prior to joining JBWere, Stewart was Chief Operating Officer for Morgan Stanley’s Australian wealth management division, a business acquired from Citigroup in 2009 where he also acted as COO. Stewart is a Chartered Accountant and holds a MBA qualification from University of Technology in Sydney.
Susan Antoun, Head of Risk and Compliance and Operations, Taylor Collison
Susan has held her current position since 2007. Susan previously worked as an Audit Director at a second-tier accounting firm and began her career at the SA Auditors Generals in 1991. Susan is a CPA and has a Bachelor of Economics and Accounting. She is a member of the Institute of Internal Auditors and Governance Risk and Compliance Institute. She serves on several not-for-profit boards, including various Adelaide Schools, and is currently Treasurer and a Director of Carers SA.
Melissa Nolan, Compliance Manager and Company Secretary, EL & C Baillieu Limited
Melissa has 30 years’ experience in financial services and stockbroking with a focus on governance and compliance. A regular participant in industry-based committees and working groups Melissa stays up to date with financial services regulation, risk and emerging risk issues and general compliance matters.
FASEA CPD: 1.00 hour Regulatory compliance and consumer protection
RG146: 1.00 Generic Knowledge
This webinar is open to financial members only. Members, please log in to register
Wednesday 11 November from 1.00pm to 2.00pm EST
Our decisions can easily be affected by biases, especially when it comes to money. This is why it is important for investors to be aware of these biases and to consider them when making investment decisions. When investing, it is also important to be aware that these biases exist within the markets. The latest FASEA exam highlighted the need to build understanding about:
- identification of client biases and how they may influence clients’ financial decisions and/or investment choices
- understanding the context of client requests for advice and how this may impact advice construction.
Dr Tracey West, a lecturer in behavioural finance at Griffith University, will provide you with insights and strategies to help you understand both your own and your clients’ biases, and what impact these may have on financial decisions. This presentation will help you ensure you have the client in mind in all forms of your communication.
Dr Tracey West, Lecturer, Griffith University
Since 2016 Dr Tracey West has been a lecturer in the Accounting, Finance and Economics Faculty. Dr West has been published in several publications including in Economic Notes, Financial Counselling and Planning, Financial Planning Research Journal, Journal of Family and Economic Issues, JASSA, the Consumer Interests Annual. This work contributes to knowledge on investor behaviour, informing curriculum development and guidance for advisors in the financial services industry. She currently teaches Behavioural Finance and Wealth Management at Griffith University, Australia.
FASEA CPD: 1.00 hour Client care and practice
RG146: 1.00 Generic Knowledge
Thanks to the following organisations who are supporting SAFAA’s webinar program during 2020.
For more information
Telephone 02 8080 3200