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1.3.3 Financial Services Exam - Preventing misconduct and inappropriate advice

Financial services exam Prep - IQ Preventing misconduct and inappropriate advice

This module is only available as a package of four courses covering the exam criteria. The misconduct and inappropriate advice module is part 3.

Register here

Reference notes and worked Q&As included.

Total 1 CPD Hours

What we cover

Meeting your client best interest duty
Preventing misconduct and inappropriate advice
Evaluating and applying advice strategies for different retail clients

Conrad Gilbert

Professionalism & Governance Specialist, Knowledge Shop

Conrad works with the profession to navigate the practical impact of change on advisers, their practices, and their clients. He has over 30 years’ experience in the Financial Services Industry, working across insurance and financial planning. Before joining Knowledge Shop, he held senior executive roles with national financial planning networks.

In addition to his work with Knowledge Shop, Conrad is currently completing a PhD in Finance and Financial Planning at Griffith University. He holds an MBA from the University of Qld, a Bachelor of Commerce from Griffith University and a Diploma of Financial Planning from Deakin University.