FASEA Mandatory Categories: CPD Triple Shot
Issues covered include: new technology, regulations, professionalism and ethics, managing an Australian Financial Services Licensee
Description
Your FASEA CPD deadline approaches, so get those mandatory categories crossed off your list! One easy afternoon gives you 1 CPD point in Client Care and Practice, 1 CPD Point in Regulatory Compliance and 1 CPD point in Professionalism and Ethics. Discover advancements in technology and working from home opportunities, managing an AFSL and grappling with ethical frameworks. Tick, tick, tick!
This event offers 3 FASEA CPD hours including (FPA accreditation number: 011555):
1 CPD Point in Regulatory Compliance and Consumer Protection
1 CPD Point in Professionalism and Ethics
1 CPD Point in Client Care and Practice
Please note to count towards the minimum 28 hours of licensee approved CPD hours, your licensee is required to approve this event.
Chair: Russell Reid, Director, Business Advisory & Superannuation, Nexia
1.00pm to 2.00pm: Implementing New Technology, Working From Home and Future-Proofing Your Practice
- Using technology to achieve workflow automation
- How do you know you are ready for workflow automation?
- Tips for introducing workflow automation
- Improving processes to:
- deliver better customer service
- attract and retain next-gen workforce
- Checklists and tools to help you in your practice
- Working from home - Welcome to "The New Normal". What practices will look like post Coronavirus. Do we actually need to work from the office?
Presented by Mary Sidoti, CEO & Founder, Zapdat; former Accountant
This session offers 0.5 FASEA CPD Hours in Client Care and Practice and 0.5 FASEA CPD Hours in General CPD
2.00pm to 2.30pm: Regulations, Professionalism and Ethics
Regulations have been and will continue to be an integral part of regulating the financial markets and participants in these markets. In recent years we saw the rise in the awareness and need for ethics, governance and professionalism to also a play a key role in building a sustainable and fair marketplace for investors. This session will cover the following:
- The operation of Ethical frameworks
- Dealing with cognitive biases
- Ethical duties and obligations – FASEA ethical framework
- Limitation of Disclosure
Presented by Nidal Dadoun, CA FCPA CTA CFP, Principal Director, Prosperity Financial Services; Adjunct Lecturer at UNSW and Macquarie University
This session offers 0.5 FASEA CPD Point in Professionalism and Ethics
2.30pm to 2.45pm: Afternoon Tea
2.45pm to 4.15pm: The Realities of Managing an Australian Financial Services Licensee
Using an interactive case study, attendees will identify, grapple with and resolve the compliance challenges faced by accountants and advisers wanting to move into wealth management.
In many cases, it makes sense for individuals and business to expand into areas beyond accounting, SMSF audit and administration services - to better service the unknown financial needs of their clients. In this interactive session, we'll look back on the growth of financial strategists and identify to what extent their success satisfied their legal and professional standards.
Presented by Sean Graham, Director, Assured Support
This session offers:
1 FASEA CPD Hour in Client Care and Practice
0.25 FASEA CPD Point in Regulatory Compliance and Consumer Protection
0.25 FASEA CPD Point in Professionalism and Ethics
Learning Outcomes
- Improve workflow and prepare your practice for the future with technology
- Know your ethical duties and obligations
- Understand your legal and professional standards when managing an AFSL