Australia: Quality Advice As The New Frontier - Lessons from the Frontline - Register your interest
Last Updated: 1 April 2014
Date: 31 Dec 2014
Time: 9.00am – 12.45pm
Location: Level 15, 1 Bligh Street, Sydney
Presenter(s): Randal Dennings, Samantha Carroll and Mark Sammut
Contact: Phone, 1800 882 110, Contact Client Training
Cost: $591 per person
$532 per person if booking two weeks before the workshop
$502 per person if in a group of three or more
Register for Quality Advice As The New Frontier - Lessons from the Frontline - Register your interest

New Program

Dates are scheduled on a needs basis. To register your interest please email or follow the registration prompt above.

It's one thing to know the law, it's another thing to know how it will be applied.

This workshop is an opportunity for you to learn from our frontline experience in assisting our clients facing ASIC inquiries on the quality of personal advice. You'll learn from the coalface of what ASIC is particularly focusing upon when considering whether personal advice is appropriate and in the best interest of clients.

By better understanding the application of the Future of Financial Advice reforms and the expectations of ASIC, you can ensure your organisation and advisers are compliant – and can show it.

What we'll cover

  • The new Part 7.7A obligations of the Corporations Act – how to implement them in practice
  • Current ASIC concerns – lessons from the frontline
  • What to do when ASIC knocks – surveillance and investigation strategies, practical steps and insurance considerations
  • Case study.

What you'll learn

This workshop will provide you with:

  • Practical tips for implementing quality advice obligations
  • An insight into recent and current matters undertaken in the area of quality advice
  • The key steps you should take when ASIC comes knocking – strategies and practical steps you should consider throughout an ASIC inquiry
  • The steps you should take with insurers when these matters arise
  • A high-level health-check checklist to undertake a self-check on how you or your organisation is tracking in complying with the Part 7.7A obligations.

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