The Regulation of Financial Planning in Australia PDF Download
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Author: Angelique Nadia Sweetman McInnes
Publisher: Routledge
ISBN: 0429622449
Category : Business & Economics
Languages : en
Pages : 373
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Book Description
This book investigates the legitimacy of the current Australian Financial Services Licensee-Authorised Representative (AFSL-AR) licensing model, as specified in the Commonwealth Corporations Act 2001. The book rectifies the deficiency in scholarly attention to this matter by developing a new conceptualised framework for the financial planning discipline. It takes into account theories in agency, legislation, legitimacy and the independent individual regulatory regimes in other professions; thereafter integrating this framework with the financial planning theory to examine the legitimacy, or what was found to be the illegitimacy of licensing advisers via multiple third party conflicted commercially oriented licensees. This book makes a very useful reference to understanding financial planning licencing model in Australia.
Author: Angelique Nadia Sweetman McInnes
Publisher: Routledge
ISBN: 0429622449
Category : Business & Economics
Languages : en
Pages : 373
Get Book Here
Book Description
This book investigates the legitimacy of the current Australian Financial Services Licensee-Authorised Representative (AFSL-AR) licensing model, as specified in the Commonwealth Corporations Act 2001. The book rectifies the deficiency in scholarly attention to this matter by developing a new conceptualised framework for the financial planning discipline. It takes into account theories in agency, legislation, legitimacy and the independent individual regulatory regimes in other professions; thereafter integrating this framework with the financial planning theory to examine the legitimacy, or what was found to be the illegitimacy of licensing advisers via multiple third party conflicted commercially oriented licensees. This book makes a very useful reference to understanding financial planning licencing model in Australia.
Author: John Stumbles
Publisher:
ISBN: 9780455238722
Category : Corporations
Languages : en
Pages : 1209
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Book Description
"Australian Finance Law, 7th Edition provides comprehensive coverage of Australian finance law, including the regulation of the Australian financial system, capital markets, debt finance, taxation and insolvency law. It has been written and compiled by Partners, Consultants and Associates of King & Wood Mallesons. This well-regarded work combines both legal analysis and its practical application to financing transactions. It is designed for general and specialist advisers, combining both fundamental and more complex legal and practical analysis. It is also an important resource for students of Australian financial and commercial law. Although it has been written from a primarily Australian context, a number of the chapters have a more international application, either because of the global nature of finance, or because of the similarity in legal concepts between common law jurisdictions." --Publisher's website.
Author: E. Denby Brandon, Jr.
Publisher: John Wiley & Sons
ISBN: 0470553790
Category : Business & Economics
Languages : en
Pages : 379
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Book Description
The first book to provide a comprehensive history of the financial planning profession The financial services field has been revolutionized in the last quarter of the twentieth century by the financial planning profession. So much has happened in so little time that it has been difficult to keep up with the events and key players that make up the world of financial planning. The History of Financial Planning is the first book to provide a comprehensive history of the profession. Backed by the Financial Planning Association, The History of Financial Planning offers a clear overview of the industry and how it has grown and changed over the years. This book chronicles the history of the profession, with explanations of how the financial planning movement has grown beyond the United States to other countries-particularly in the last fifteen years. The book also demonstrates how the work of key researchers, such as Dr. Daniel Kahneman, Vernon Smith, and Amos Tversky, has influenced the rise of the financial planning profession Names "four initial engines of growth" that contributed to the success of financial planning Reveals the moments and key players that define the history of financial planning Discusses the emergence of the Financial Planning Association (FPA) The financial planning field has a rich history, and with this book as your guide, you'll quickly discover how it has evolved over the years.
Author: Warren McKeown
Publisher: John Wiley & Sons
ISBN: 1394286163
Category : Business & Economics
Languages : en
Pages : 516
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Book Description
The second edition of Financial Planning Essentials delivers concise, contemporary, relevant and curriculum-aligned content carefully tailored to first-year undergraduate students. Students will be inspired, rather than saturated, by information on how to advise their future clientele about investment decisions throughout their lifetime. Encompassing the entire spectrum of client wealth management, from wealth development and protection to early investments, superannuation, and estate planning, this edition equips students with comprehensive knowledge and skills. A key focus is on instilling students with the necessary language and communication tools to deliver meaningful guidance to their future clients. Through a systematic exploration of fundamental concepts and technical competencies, Financial Planning Essentials, 2nd edition primes students for successful and fulfilling careers in financial planning. This text serves as an indispensable guide, fostering both readiness and enthusiasm among aspiring financial planners.
Author: Ken Bruce
Publisher: Routledge
ISBN: 1317162498
Category : Business & Economics
Languages : en
Pages : 208
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Book Description
In Conceptions of Professionalism, Ken Bruce and Abdullahi Ahmed present the results of research into understanding what professionalism means to individuals who are CERTIFIED FINANCIAL PLANNERTM professionals and how they conceive of acting professionally. Financial planning is establishing itself as a relatively new, emerging profession and an understanding of how its members experience professionalism provides insights that will help those responsible across the international financial planning community to establish relevant, accurate and meaningful professional standards for financial planners. The authors employ the relatively new research methodology of phenomenography, which enables them to describe the qualitatively different ways in which people understand or experience a phenomenon. This particularly lends itself to the study of a concept such as professionalism. This study gives voice to the financial planners represented in the research and will inform standard setting bodies seeking to understand professionalism through the eyes of the professionals themselves. What the research reveals about the concept of professionalism itself will be of value to those whose interests lie beyond the world of financial planning, and the application of the methodology used in the study will inform researchers contemplating phenomenographical studies elsewhere.
Author:
Publisher: National Library Australia
ISBN:
Category :
Languages : en
Pages : 1098
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Book Description
Author: Warren McKeown
Publisher: John Wiley & Sons
ISBN: 1118256794
Category : Business & Economics
Languages : en
Pages : 674
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Book Description
Financial Planning has been thoroughly revised to reflect the legislative and regulatory changes that affect the Australian financial planning industry. This new edition considers a number of reforms introduced as a consequence of the global financial crisis and the Henry Review on taxation reform. The text continues to present a comprehensive introduction to financial planning decisions, services and products, risk management and the importance of long term strategic financial planning and life-long management. The text is the new edition of what was previously titled Personal Finance which has been a market leading textbook in the area of financial planning for 10 years. As more and more Australians look to financial planners for information and guidance on investment opportunities, and short-term and long-term financial planning goals, this new edition reflects the financial planning industry need to ensure that its members are accredited and comply with industry recognised professional and ethical skills.
Author: Melissa Naylor
Publisher:
ISBN: 9780455237572
Category : Capital market
Languages : en
Pages : 307
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Book Description
Law of Investments and Financial Markets examines the various areas of law that impact on investors and those working in industries associated with investment products. It covers Chapter 7 of the Corporations Act 2001 (Cth) and the requirements associated with licensing including the legal obligations and compliance requirements of licensees and their representatives, disclosure, dispute resolution and investor protection. This edition includes discussion of the latest amendments and reform process, as well as relevant regulatory guides and recent case law. Various forms of investment are considered, including financial services and products, managed investments, real property and direct investments into companies. The main sources of law relating to these areas of study include: legislation such as the Corporations Act 2001 (Cth); the Australian Securities and Investments Commission Act 2001 (Cth); the Competition and Consumer Act 2010 (Cth); the common law, including fiduciary duties as well as contract law and the tort of negligence; and administrative actions, by the Australian Securities and Investments Commission (ASIC) and the Australian Taxation Office (ATO) through regulatory guides and rulings. This book provides most of the guidance that a serious investor may need on how the current law impacts on their particular investments. It is also designed to assist investment advisers to quickly and accurately find the appropriate law that relates to their requirements. Tertiary students of financial planning and finance law, as well as financial planners, accountants and lawyers practising in investment law will also find the book useful.
Author: E. Denby Brandon, Jr.
Publisher: John Wiley & Sons
ISBN: 0470180749
Category : Business & Economics
Languages : en
Pages : 310
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Book Description
The first book to provide a comprehensive history of the financial planning profession The financial services field has been revolutionized in the last quarter of the twentieth century by the financial planning profession. So much has happened in so little time that it has been difficult to keep up with the events and key players that make up the world of financial planning. The History of Financial Planning is the first book to provide a comprehensive history of the profession. Backed by the Financial Planning Association, The History of Financial Planning offers a clear overview of the industry and how it has grown and changed over the years. This book chronicles the history of the profession, with explanations of how the financial planning movement has grown beyond the United States to other countries-particularly in the last fifteen years. The book also demonstrates how the work of key researchers, such as Dr. Daniel Kahneman, Vernon Smith, and Amos Tversky, has influenced the rise of the financial planning profession Names "four initial engines of growth" that contributed to the success of financial planning Reveals the moments and key players that define the history of financial planning Discusses the emergence of the Financial Planning Association (FPA) The financial planning field has a rich history, and with this book as your guide, you'll quickly discover how it has evolved over the years.
Author: Michael J. Trebilcock
Publisher: University of Toronto Press
ISBN: 1487543050
Category : Law
Languages : en
Pages : 134
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Book Description
Occupational licensure, including regulation of the professions, dates back to the medieval period. While the guilds that performed this regulatory function have long since vanished, professional regulation continues to this day. For instance, in the United States, 22 per cent of American workers must hold licenses simply to do their jobs. While long-established professions have more settled regulatory paradigms, the case studies in Paradoxes of Professional Regulation explore other professions, taking note of incompetent services and the serious risks they pose to the physical, mental, or emotional health, financial well-being, or legal status of uninformed consumers. Michael J. Trebilcock examines five case studies of the regulation of diverse professions, including alternative medicine, mental health care provision, financial planning, immigration consulting, and legal services. Noting the widely divergent approaches to the regulation of the same professions across different jurisdictions – paradoxes of professional regulation – the book is an attempt to develop a set of regulatory principles for the future. In its comparative approach, Paradoxes of Professional Regulation gets at the heart of the tensions influencing the regulatory landscape, and works toward practical lessons for bringing greater coherence to the way in which professions are regulated.
