Ethical Frameworks - Financial Planning - Financial Adviser - Code of Ethics - Assessment Answer
Assessment Task:

Learning outcomes

  • Explain the role of ethical frameworks and professional standards within the financial planning profession.

  • Assess the impacts of cognitive, judgment and decision biases on financial advisers and their clients.

  • Demonstrate an understanding of professional obligations and conduct required by the values and standards of the FASEA Code of Ethics.

  • Identify and solve ethical dilemmas encountered as a financial adviser through the application of ethical frameworks and professional standards.

 

Assignment presentation, research and referencing (5 marks)

You are required to research beyond the subject notes in answering the questions in this assignment. Reference and cite all your sources when quoting or using material from external sources. Include a reference list at the end of your assignment.

Case study

You are a Compliance Specialist employed by a licensee group — AlphaOmega Financial Group (AOFG). With the commencement of the FASEA Code of Ethics from 1 January 2020, AOFG wants to understand what it should do to support its financial advisers and practices to comply with the Standards and Values of the Code. To do this, they have asked you to work with a number of selected practices to gain an understanding of their current level of compliance with the Code and to identify areas for improvements.

 

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  • Uploaded By : ethan
  • Posted on : November 05th, 2018

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