FNS40815 Finance And Mortgage Broking : Legal And Ethical Issues

FNS40815 Finance And Mortgage Broking : Legal And Ethical Issues

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FNS40815 Finance And Mortgage Broking

Question:

Identify and explain key elements of RG2§s that AFS licencees and representatives must consider when entering into ongoing fee arrangements.(Explain the legal environment including disclosure and compliance covering the role of the representative or adviser).

Explain the legal basis and purpose of providing a statement of advice to a client. (Explain the legal environment including disclosure and compliance covering relevant legal principles).

Activity 1

Explain the legal and ethical issues surrounding the payment of trailing commissions to finance and mortgage brokers and advisers. (Explain the legal environment including disclosure and compliance covering the relationship between ethics and regulatory requirements).

Identify and explain the regulatory basis for risk disclosure in the Australian financial planning industry. (Name relevant industry codes of practice and conduct). Activity k Answer

Activity 2

Explain what a client should do if they have a complaint about a statement of advice. (Identify complaints resolution procedures (internal and external).

Activity 3

RG24s requires Financial Service Providers to issue Fee Disclosure Statements (FDS) to clients who enter into ongoing fee arrangements. How must a FSP provide FDSs to clients*(Outline relevant ASIC regulatory guidelines).

Activity 4

Are insurance brokers required to issue a statement of advice to their clients* Explain your answer.

(Summarise the characteristics and participants of Australian insurance markets and the roles played by intermediaries).

Activity 5

What regulatory code mUst a business involved in EFT consider*(The types of deposit products products).

Activity 6

Explain the legal basis of the term ’non-cash payments”.(The types of non-cash payment products).

FNS40815 Finance And Mortgage Broking

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