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1.3.1 Financial Services Exam - Ethics

Financial services exam Prep - IQ Applied ethical & professional reasoning and communication

This module is only available as a package of four courses covering the exam criteria. The ethics module is part 1.

So, you think ethics is ‘soft’? We explore the requirements for financial advisers and the borderline issues that will test your knowledge and compliance with the Code.

2.5 CPD Hours: Professionalism and ethics

Reference notes and worked Q&As included.

Total 2 CPD Hours

What we cover

The Financial Services Code of conduct – what you are required to do and how you need to act?
The Code of Ethics explored:
- The Code’s impact and importance for planners and advisers
- What the code means in real life client scenarios – dilemmas and issues
Applying the Code and your professional standards
Acting in the best interests of your client – what that really means
Due diligence and your clients files and records – the essential internal processes to maintain compliance
Putting ethics in practice
Scenario based interactive Q&As throughout.

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.