Ethics and Professional Practice in Financial Planning is a comprehensive resource that brings together different aspects of ethics that comprise compulsory education requirements for both existing and new entrants to financial planning. It discusses the application to financial planning of ethical development, theories and decision frameworks.
Real-life scenarios, such as Storm Financial and other cases handled by the Australian Financial Complaints Authority (AFCA), illustrate the hard consequences when things go wrong and the role that process plays in ensuring and demonstrating ethical behaviour.
Features
discusses the role of professional associations in promoting ethical practice
explores the legislative underpinnings of financial ethics
outlines the Financial Planners and Advisers Code of Ethics and Code-compliant behaviours
provides client perspectives on ethical behaviour and its relationship to the Code
explains the workings of dispute resolution and disciplinary bodies
written by authors experienced in delivering academic courses in the field, running a financial planning practice, and working in roles involving complaint resolution and professional discipline
Related Titles
Black & Hanrahan, Securities and Financial Services Law 10th edition
Taylor et al, Financial Planning in Australia: Advice and Wealth Management, 9th edition
Tyree, Banking Law in Australia 10th edition
