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.

The role of gold in a diversified portfolio

Wednesday 19 August from 1.00pm to 2.00pm EST

The price of gold has rallied strongly in 2020, continuing a run of gains that dates back to Q4 2018. Jordan Elseo will look at the benefits of investing in gold as part of a diversified portfolio, including some practical tips on investing, looking at the costs of storing and trading gold in various forms. He will also touch on the outlook for gold given the COVID-19 crisis and how that compares to the GFC.

Jordan Eliseo Manager – Listed Products and Investment Research, The Perth Mint
Jordan Eliseo is a financial markets commentator and precious metals expert with more than 20 years industry experience. He has worked at companies including JP Morgan and Deutsche Bank and was head of Investment Analytics at Cazenove Capital in London where he was responsible for building risk and attribution models for hedge funds as well as equity, fixed income and multi-asset portfolios. Jordan’s precious metals experience dates back to 2003 with his co-founding of Argentaurus Investments, a private investment vehicle set up to invest in precious metals markets.

FASEA CPD: 1.00 hour Technical competence
RG146: Generic Knowledge

 

Panel: When ASIC issues a notice… how to be prepared

Wednesday 9 September from 1.00pm to 2.00pm EST

Receiving a notice from ASIC to produce documents and or provide answers to questions is never something to which a licensee looks forward. Our panellists will discuss:

  • What are the do’s and don’t’s of engaging with regulators?
  • What can you learn from those who have gone through this trial of fire?
  • What can you do to reduce the stress of an ASIC audit?

Alexandra Mason, Partner, Allens

Alexandra is a commercial litigator with extensive experience acting in relation to commercial disputes and regulatory investigations for some of Australia’s largest corporate clients. Her clients include financial services firms, including leading retail banks, investment banks and accountancy firms. Alexandra specialises in advising clients in relation to major or complex investigations and disputes involving regulators and has dealt extensively with ASIC, the ATO, the Financial Services Ombudsman and the Australian Bankers Association.

Nicole Pyner, Manager, Enforcement Policy and Practice, ASIC

Nicole has over 29 years’ experience as a commercial lawyer and regulator. Nicole joined the Enforcement Law and Policy area of ASIC over 20 years’ ago and has been involved in the area of compliance ever since. An expert presenter and trainer on regulatory practice Nicole’s involvement in this panel will be invaluable.

Douglas Clark

After working for ASIC, ASX, ANZ and HSBC, Doug has provided legal and compliance services to the stockbroking and financial services industry and regulators. He has been an expert witness in a number of disciplinary matters and market-related court cases and prosecutions in Australia, Singapore and New Zealand. He has also worked in Policy for the predecessors to the Stockbrokers and Financial Advisers Association, representing the industry in dealings with Government and other regulators. As well as being a solicitor, he is a qualified workplace trainer, providing compliance training for stockbroking and financial firms and regulators.

FASEA CPD: 1.00 hour Regulatory compliance and consumer protection
RG146: Generic Knowledge

 

Ethics in action – are you match fit?

Wednesday 16 September from 1.00pm to 2.00pm EST

Ethics consultants advise that you cannot approach ethics with a compliance lens. Ethical issues are not about ‘right or wrong’ or ‘black and white’, but the areas of grey in decision-making and what you can rely on to deal with those. What are the steps that you can take to apply an ethical lens to your decision-making in preparation for the FASEA exam and to give advice in line with the FASEA Code of Ethics? Having created a FASEA-approved Master’s Degree level ethics course for financial advisers, Steve Mark is well qualified to provide practical applications to the following issues.

  • Ethics: Rules vs Values – which should I use in decision making?
  • The ‘best interest’ duty – Is it my or the client’s view of their best interests?
  • Conflicts of interest – What is informed consent?
  • What steps should I take to ensure ethical decision-making?

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

 

Identifying the winners of tomorrow in emerging markets

Wednesday 23 September from 1.00pm to 2.00pm EST

Today there are varying levels of ability for each company in emerging markets to cope with the continuing economic fallout from COVID-19. Active management is key to reducing the risk by focusing on structural long-term drivers, as well as managing downside protection. And the composition of the index has changed over time which highlights why active management is crucial in this market. Anthony Doyle will dive into the undisputable growth drivers in emerging markets and discuss the underlying trends supporting why emerging markets vs developed marked should be considered in an investment portfolio.

Anthony Doyle, Cross Asset Specialist, Fidelity International
Anthony has over 17 years’ experience in global financial markets, working for some of the largest investment management firms in Australia, Europe, and the United Kingdom. In his current role, Anthony helps to position Fidelity’s broad investment capabilities, strategy, market views and performance to clients. Prior to joining Fidelity International, Anthony worked at M&G Investments in London as Head of Investment Specialists. He has also worked at Pioneer Investments and Macquarie Bank as an economist.

FASEA CPD: 1.00 hour Technical competence
RG146: Securities

Supporters

Thanks to the following organisations who are supporting SAFAA’s webinar program during 2020.

Interested in sponsoring?

For more information

Email education@stockbrokers.org.au

Telephone 02 8080 3200