Ethics and Professional Practice in Financial Planning
Essential reading and thought provoking commentary for financial planning practitioners and students
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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.
• 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
• 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
Table of contents
- Chapter 1 Ethical Theory
- Chapter 2 Ethical Development
- Chapter 3 Process in Professional Practice and Ethical Behaviour
- Chapter 4 When Things Go Wrong – The Human Impact
- Chapter 5 Ethics and Legislation in Financial Planning
- Chapter 6 The Financial Planners and Advisers Code of Ethics
- Chapter 7 Professional Associations
- Chapter 8 Dispute Resolution and Disciplinary Bodies