Supervising advisers under FASEA - SAFAA 2020 Virtual Conference

Join Complii's Executive Chair, Craig Mason, at the upcoming SAFAA 2020 Virtual Conference

On 27th August from 12:15 - 1:00pm, Craig will be moderating this session with expert panellists.

  • Speaker: Donna Caird – Head of Risk, Euroz Securities
  • Speaker: Stuart Frith – Sales & Delivery Director, Lumen, Iress
  • Speaker: Nicole Roberts – Manager, Risk & Governance, Morgans Financial
  • Moderator: Craig Mason – Executive Chair, Complii

Licensees are acutely aware of the focus of regulators and have an obligation to ensure that their advisers comply with the FASEA Code of Ethics. The panel will discuss how firms are:

  • eliminating and/or mitigating conflicts of interest relating to remuneration
  • setting expectations on exchanges between advisers and their clients, record-keeping and documentation
  • conducting file reviews, audits and real-time monitoring of statements of advice using AI and machine learning software
  • collating client feedback to understand the consumer perspective
  • implementing what was learnt from supervising advisers when working remotely.

45 mins /0.75 hour FASEA CPD area: Regulatory compliance and consumer protection
RG146: Skills

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