Practical compliance coaching
Originally published | 8th June 2019
If you have been in financial planning since July 2013, you would have some idea of s961J of the Corporations Act. This is the section that deals with conflicts and is often referred to as the Conflicts Priority Rule.
In its basic form, it says that as a licensee or a representative, you must prioritise the client’s needs above those of yourself, your employer or your licensee.
Originally published | 25th June 2019
As most will know that read my blogs, I like to use pop culture to explain compliance concepts.
As I end a week’s holiday in Japan, I thought I would use my experiences this week to discuss the need for us all to move out of our comfort zone.
Originally published | 17th July 2019
It is interesting how the more you work with pieces of legislation, and start looking at them from different angles, the more you become to understand more clearly the intent.
Originally published | 7th September 2019
“Paradigm” – in science and philosophy, a paradigm is a distinct set of concepts or thought patterns, including theories, research methods, and standards for what constitutes legitimate contributions to a field.
Originally published | 5th February 2020
Heraclitus once said that “The only constant in life is change” and if you have been in the financial services industry for some time you would know that this phrase is as true back when you started as it is today.
It’s been some months since I wrote my last post and that’s because I have had change in my life. As with most change, it wasn’t wanted.