Are you up-to-date with your obligations as a financial professional? Five quick questions
Are you up-to-date with your obligations as a financial professional? Five quick questions We recently looked at some key regulatory changes in the financial services sector affecting both the FinTech and banking industries. A common theme through these changes is a clear commitment to cracking down on unethical and unprofessional behaviour in the sector. Furthermore, there is an ongoing Senate committee inquiry into the ‘Scrutiny of Financial Advice’, reviewing the current regulatory framework for financial advisors. We will have to wait until the committee reports back on 30 June 2017 to see if further changes lay in store for the sector. In the meantime, here is a five-question mental checklist for all those in the industry: 1) Have I kept pace with the latest industry and economic trends? In order…