Uncover critical ethical misconduct in financial services. Through real-world FAAA case studies, learn to identify, investigate, and prevent ethical breaches, safeguarding your practice.
One clear message from our annual membership survey is that members expect high standards of professional conduct from their fellow association members, and expect that the association will actively investigate reports of unethical conduct and take appropriate steps when member conduct falls below the standard expected by their peers.
Every year the FAAA’s professional standards team receives a number of reports of unethical conduct involving members. Although this involves less than 0.3% of members annually, the FAAA takes these matters seriously and will investigate according to its Conduct & Integrity Regulations. When the Professional Standards team believes that there is strong evidence of unethical conduct, a case will be brought to our independent Conduct Review Commission, where a panel of FAAA members will provide an independent finding on whether the conduct was unethical and what sanction should be applied.
This webinar will look at how this process works in practice and will also examine recent case studies from the perspective of assisting members to understand why the unethical conduct occurred and how the member could have prevented themselves from falling below the standards expected by their peers.
Australia's Leading Professional Association for the Financial Advice Profession
The Financial Advice Association of Australia (FAAA) is the leading body representing financial planning and financial advice professionals in the Southern Hemisphere. We deliver high-quality learning experiences designed to drive real-world-results for professionals. With thousands of professionals benefiting from our Continuing Professional Development (CPD, PD, CPE, CE) webinars, we’ve helped lawyers, accountants, financial planners, financial advisers, solicitors, fund managers, financial coaches, government officials, insurance and mortgage brokers and many more professionals enhance their skills, stay informed, remain compliant and advance in their careers. We bridge the gap between theory and practice, offering content curated by industry experts to equip you with practical knowledge in high-demand areas. Investing in the FAAA’s professional development content means choosing quality, convenience and credibility. We delve into current issues often with live case studies presented by professionals who walk the talk. Our webinars are not only informative but also practical, providing you with actionable insights that you can apply in your daily practice. Our speakers are from various backgrounds, including law, accounting, finance and more. We specialise in practical training in areas such as Ethics, Regulatory & Compliance, Expat- Tax, Client Care and Technical Competence. Whether you are a professional, recent graduate, manager or lifelong learner, you’ll find practical courses to advance your career with confidence.
Head of Professional Standards | Financial Advice Association Australia (FAAA)
Rob has been working with the FAAA since March 2021 and is responsible for delivering the FAAA’s professionalism function.   He has over 15 years’ experience in the financial services industry in Australia and internationally, working in both the public and private sectors, for wealth management firms, top tier banking groups and regulatory bodies, specialising in dispute resolution and advice review. 
General Manager of Policy, Advocacy & Standards at FAAA
Phil Anderson is the General Manager Policy, Advocacy & Standards of the Financial Advice Association Australia (FAAA). Phil spent over 10 years at the Association of Financial Advisers (AFA), including most recently as CEO before the successful vote to merge with the Financial Planning Association (FPA). He has previously worked for Netwealth as General Manager Governance and Advice, and Colonial First State, where he was the Head of Risk Management & Compliance for the CFS Advice business. Phil has been in the financial services industry for over 25 years, having also worked with AMP, MLC, and Perpetual. Phil has been responsible for policy, including the Quality of Advice Review, and the implementation of the requirements of the Professional Standards legislation and the Royal Commission Recommendations. Phil has previously been integrally involved in the FoFA, TASA, Education/Professional Standards, and the Life Insurance Framework debates, including driving the development of submissions to FASEA, Treasury, ASIC, the Tax Practitioners Board, and Parliamentary Committees. Phil is a CPA and has a Bachelor and Master of Commerce along with the DFP and ADFP.
