On Wednesday April 9, the Securities Institute are running a seminar entitled FSRA Update – How Well Do You Know Your Clients, at the Sheraton Hotel from 12pm to 2pm.
The seminar will feature presentations from Freehills, senior associate, Richard Mullin and Capital Partners Consulting, executive director, Michael Matthews, who will address issues arising from and relating to aggrieved investors taking action against financial advisors and broking houses as investor returns continue to decline and investors query the advice given to them.
Mr Mullin and Mr Matthews will focus on answering questions that are starting to arise such as, are advisors fulfilling their duty under Section 945A of the Corporations Act - ‘Know Your Client’, what procedures or processes are in place to track advice given to clients – the necessary risk profiling and the clear documentation of reasons for the type of advice given; and can advisors effectively match strategy and product recommendations to individual circumstances and aspirations.
Tickets to the seminar are available from the Securities Institute for $88 for members or $110 for non members. For further enquiries or to book phone 9221 1755 or email firstname.lastname@example.org.
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