Home: Graduate Diploma in Financial Planning: FPETH501A Ethics and Professional Standards for Financial Advisers

Readings

ASIC enforcement outcomes: January to June 2018: report 585 2018,
Australian Securities & Investments Commission, viewed 1 October 2020, <https://download.asic.gov.au/media/4841269/rep-585-published-9-august-2018.pdf>.
ASIC regulatory guideline 175. Licensing: financial product advisers: conduct and disclosure 2021,
Australian Securities & Investments Commission, viewed 15 September 2022, <https://download.asic.gov.au>.
ASIC regulatory guideline 181. Licensing: managing conflicts of interest 2004,
Australian Securities & Investments Commission, <https://download.asic.gov.au/media/1241003/rg181.pdf>.
ASIC regulatory guideline 256. Client review and remediation conducted by advice licensees 2016,
Australian Securities & Investments Commission, viewed 1 October 2020, <https://asic.gov.au/regulatory-resources/find-a-document/regulatory-guides/rg-256-client-review-and-remediation-conducted-by-advice-licensees/>.
ASIC Report 603. The consumer journey through the internal dispute resolution process of financial service providers 2018,
Australian Securities & Investments Commission, viewed 1 October 2020, <https://download.asic.gov.au/>.
Final report of the Royal Commission into misconduct in the banking, superannuation and financial services industry 2019,
Australian Government Treasury, viewed 1 October 2020, <https://treasury.gov.au>.
Financial Advisor Standards and Ethics Authority 2019, Code of ethics standard commences 1 January 2020,
FASEA, viewed 23 September 2020, <https://www.legislation.gov.au/Details/F2019L00117/>.
Insurance Brokers Code of Practice Code Compliance Committee 2018, Our impact: annual review 2017-18,
IBCC, viewed 1 October 2020, <https://www.afca.org.au/about-afca/rules-and-guidelines/code-compliance>.

Graduate Diploma in Financial Planning: FPETH501A Ethics and Professional Standards for Financial Advisers

Prescribed Text

Recommended

Readings