Review and Remediation workshop

The Review and Remediation workshop provides 2 FASEA CPD hours to candidates.  See breakdown for FASEA CPD areas:

FASEA CPD area
Technical  competence 1 hour
Regulatory compliance and consumer protection 1 hour
Total Hours 2 hours

 

Can’t see this workshop on our CPD Calendar?  We can run this workshop on an inhouse basis for any organisation at a date and time that works for them.  Please contact us on email education@stockbrokers.org.au or telephone +61 2 8080 3200 to discuss date/time/cost.

 

Review and remediation programs are sometimes put in place voluntarily by a licensee, and sometimes required by ASIC as part of an enforceable undertaking (EU).

It is important to be ready and prepared to address complaints and issues that can arise from potential misconduct or deficient advice.

Pricing

Practitioner Member: $220.00
Organisation Member: $240.00
Non-Member: $265.00

Face-to-face learning

The Review and Remediation workshop is face-to-face learning and involves a mix of presentation, case studies and scenario-based discussion.

Learning outcomes

Attendees will walk away with a solid understanding of the two parts of review and remediation; to review personal advice where a systemic issue in relation to the advice has been identified, and to remediate clients who has suffered loss as a result. The aim of review and remediation is to restore clients to their pre-existing position.

Unfortunately, the failings of financial advisers employed by various financial institutions have come to light with disappointing regularity over the past few years. In some cases, systemic issues have been identified, and review and remediation programs have been set up to identify and compensate clients who have suffered as a result of the shortcomings in the advice they received.

Who should attend the workshop?

The workshop will be of interest to all AFS licensees, no matter the size of the licensee.  Not only will it add value to those who have a current need to put a remediation/review program in place, but it will also cover how the licensee assesses whether a program is required.

Is there any assumed pre-requisite knowledge for attendees?

There is no assumed knowledge for participants of this workshop.

See CPD Calendar for other upcoming CPD Workshops

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