Ensuring an ethical practice with the FASEA Code of Ethics

Presented by Grant Holley, Partner at Holley Nethercote Lawyers

 
Date: 11 September 2020


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About this presentation

Hear from Grant Holley, Partner at Holley Nethercote Lawyers, as he explores how the FASEA Code of Ethics fits into an ethical advice practice and examines the various statutory and common law obligations that are designed to bring about the efficient, honest and fair provision of financial product advice. In this webinar, Grant will take you through:

  • The purpose of the FASEA Code of Ethics and how this differs from the purpose of best interests and other obligations in the Corporations Act
  • The key legislative provisions of the Code relevant to the provision of financial product advice which is efficient, honest and fair
  • How the disclosure documents required by the Corporations Act can also be used to assist compliance with the FASEA Ethical Standards
  • The interplay between best interest obligations and the FASEA Standards
  • When various disclosure documents must be provided to retail clients

 


 

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