Latest Breaking News On - Rhett das - Page 1 : comparemela.com

How can advice firms avoid an AFSL failure?

With 4.2 financial advice firms expected to fail per year, what type of problems can occur that could cause a licensee or micro-AFSL to go under?

How personal events can lead to ethical breaches for advisers

Sleeping with a Professional Year candidate and borrowing money from clients are examples of real-life ethical breaches by financial advisers, according to a compliance expert, while a divorce may also be classed as a notifiable event.

Show me the evidence: Why comprehensively detailing the advice strategy matters

Improved regulatory requirements have significantly lifted the standard of Statements of Advice however there are still areas of improvement according to a pair of compliance experts – particularly ways advisers should be highlighting the evidence behind the advice process.

Rhett Das, Author at Professional Planner