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OpenLearning

Blowing the whistle

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Overview

Mode of delivery

  • Online/self-paced

WSU CONTINUING PROFESSIONAL DEVELOPMENT FOR FINANCIAL ADVISERS

This CPD program contains content which will enhance knowledge and skills within theProfessionalism and EthicsCPD activity area inorder to meet obligations under theCorporations (Relevant Providers Continuing Professional Standard) Determination (Amendment) 2020

What is CPD?

CPD is the intentional maintenance and development of the knowledge and skills needed to perform ina professional context.Under the Corporations Act 2017 (the Act) all individuals identified as a ‘relevant provider’ must meetthe requirements for continuing professional development set by the Standards Body (s 921B(5)).

Additionally, it is an obligation under the Financial Planners and Advisers Code of Ethics 2019 that financial advisers must develop,maintain and apply a high level of relevant knowledge and skills (Standard 10).

Syllabus

  • Distinguish between complaints that should be reported to management and misconduct that merits whistleblowing.
  • Identify the main laws that protect whistleblowers in Australia
  • Understand the impact whistleblowers have had on the financial advising profession.

Taught by

Western Sydney University

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