Ethics for advisers

Professional Planner

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A Professional Planner podcast series on ethics & professionalism for financial advisers

25/08/2021

EP6, Season 2: Self-regulation is still a way off

If the success of the Code of Ethics is marked by an industry that can self-regulate and hold itself to account then we are a way off, Paul Moran, a self-licensed practice owner describes alongside UNSW’s Tracy Wilcox. Moran raises the possibility that a transition to this future state could be aided by a two-tiered approach to regulation.

42 min
25/08/2021

EP5, Season 2: Documentation is the bridge to the other side

In this stage of the industry’s progression, documentation will play an important role in advisers’ ethical practices, Jon Scukovic from Park Lane Advice Group in Melbourne and Western Sydney University’s Michelle Cull discuss in a conversation that traverses some of the principles and practicalities of implementing ethical practices.

39 min
24/08/2021

EP4, Season 2: Community is the advice industry’s superpower

Gordon Young brings his broader ethical lens to the conversation with practice owner and principal adviser Alysia Laird who both agree the early stages of the evolution of the profession has begun, something that’s particularly evident in the sharing of ideas and building of community that’s advanced quickly in recent years and is a hallmark of a thriving profession.

42 min
24/08/2021

Ep3, Season 2: Lifting standards is a start but not the endgame

Industry stalwart adviser Tony Gilett talks about his passion for financial planning and why he decided to take on the challenge of new education standards and exams after decades of giving advice alongside AFCA’s June Smith who funnels her law background, ethics research and dispute resolution experience into the conversation.

51 min
24/08/2021

EP2, Season 2: Where compliance ends and the Code begins

Tick-a-box approaches to compliance may not only be expensive and time consuming but they could also be holding advisers back from taking the next step in putting ethics into practice and advancing towards broader community trust and professional recognition, JB Were’s Kym Bailey and McMahon Clarke’s Selina Nutley discuss.

48 min
24/08/2021

EP1, Season 2: Intention is frontrunning implementation

Advisers might have full plates, not to mention challenges managing their businesses ongoing during lockdowns and a global pandemic, but they’ve still come a long way getting their heads around the Code and ethical thinking, Griffith University’s Katherine Hunt and Prosperity Financial Services’ Nidal Danoun discuss, while highlighting that the practical implementation of ethics into every day practices might still be lagging.

42 min
04/02/2020

EP6, Season 1: Above and beyond the law

For the advice industry to graduate to professional status in the eyes of lawmakers, clients and the broader community, it needs to move on from its tick-a-box approach to compliance and take on a higher-level principals approach to considering ethical situations. Richard Jackson points out the broader industry has a responsibility to support advisers to meet their obligations. Participants: Dr Michelle Cull, Richard Jackson Facilitator: Matthew Smith Length: 39 mins, 2 seconds

39 min
04/02/2020

EP5, Season 1: Subordinate or die

Reading the Code of Ethics will require another level of thinking from advisers if practitioners are still getting hung up on being prescriptive about certain aspects of the Code of Ethics, Dr Simon Longstaff explains. David Graham empathises with advisers in more corporatised structures than his own but suggests all advisers need to stand up for what they believe is right. Participants: Dr Simon Longstaff, David Graham Facilitator: Matthew Smith Length: 48 mins, 52 seconds

49 min
04/02/2020

EP4, Season 1: Code whispering 101

Reading the Code of Ethics through the eyes of a lawyer won’t work. Dr Katherine Hunt gives insight into how advisers can use the principals of the Code to guide and strengthen their decision-making. Felicity Cooper describes how her independently-owned business model enables a better ethical outcome than brokerage models she’s worked in previously. Participants: Dr Katherine Hunt, Felicity Cooper Facilitator: Matthew Smith Length: 48 mins, 52 seconds

49 min
04/02/2020

EP3, Season 1: It takes a village

Advisers have been pushed towards professionalism, something Dr Deen Sanders argues will work against the industry; Sanders says we have not yet seen a collective voice representing clients, participants and broader stakeholders. Michael Carmody believes there is still time for advisers to come together. Participants: Dr Deen Sanders, Michael Carmody Facilitator: Matthew Smith Length: 45 mins, 44 seconds

1h 2m
04/02/2020

EP2, Season 1: Is it me, or the system?

Over compliance and an overt focus on following the rules can work against businesses trying to promote an ethical environment. Dr Michael Collins considers the structural and environmental factors that lead to poor ethical outcomes. Jeff Thurecht highlights the need for advisers to be confident in the service they deliver to clients. Participants: Dr Michael Collins, Jeff Thurecht Facilitator: Matthew Smith Length: 45 mins, 44 seconds

46 min
04/02/2020

EP1, Season 1: With which ethical lens?

The moral philosopher who was a central figure in the global animal liberation movement in the 1970s, Dr Peter Singer goes back to the building blocks of ethics before turning his attention to the new FASEA Code. Marisa Broome emphasises the practical challenges practitioners face advising clients without conflict of interest. Participants: Dr Peter Singer, Marisa Broome Facilitator: Matthew Smith Length: 32 mins, 18 seconds

32 min

12 Episodes

5

out of 5

5 Ratings

A Professional Planner podcast series on ethics & professionalism for financial advisers

Creator

Professional Planner
Years Active

2020 - 2021
Episodes

12
Rating

Clean
Copyright

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Ethics for advisers