Practical compliance coaching
Originally published | 06/03/2019
If you love or have loved comics in the past you will understand the stories of the heroes and the vigilantes.
The heroes are generally those types that come in as soon as trouble happens and save the day whereas the vigilantes are patrolling the streets, generally in the shadows and are ready to pounce on trouble as it happens.
Originally published | 13/03/2019
One of the things that I am constantly discussing with advisers is how to formulate an advice document that meets the obligations of evidencing your recommendations are in the best interest of the client.
Originally published | 19/04/2019
We all know the saying; the definition of insanity is doing the same thing over and over again and expecting different results.
This is what it can be like in compliance teams around the country.
Originally published | 8th June 2019
If you have been in financial planning since July 2013, you would have some idea of s961J of the Corporations Act. This is the section that deals with conflicts and is often referred to as the Conflicts Priority Rule.
In its basic form, it says that as a licensee or a representative, you must prioritise the client’s needs above those of yourself, your employer or your licensee.
Originally published | 7th September 2019
“Paradigm” – in science and philosophy, a paradigm is a distinct set of concepts or thought patterns, including theories, research methods, and standards for what constitutes legitimate contributions to a field.