Everyday Ethics for Financial Advisers: A Guide for the Ethical Professional




Everyday Ethics for Financial Advisers

This practical guide for Australian financial advisers, offers ethical decision making frameworks and practice case studies based on the five values and 12 standards of the Code.

Every day, and in every client interaction, financial advisers face ethical decisions. In whose best interests are you operating in? Are you recommending the best investment for your client? Do you know enough about your client’s situation to be giving this advice?

Everyday Ethics for Financial Advisers has been written to help you comply with the FASEA Code of Ethics. It’s a practical guide for Australian financial advisers to put lessons into practice through the use of ethical decision making frameworks, and is supported by real case studies based on the five values and 12 standards of the Code.

The guide has been written for lecturers, students and current advisers. It’s designed to fulfil the curriculum requirements for FASEA’s Ethics and Professionalism Bridging Course and FASEA’s National Financial Planning Curriculum, to help readers obtain the necessary certifications required to operate as an adviser in the Australian market.

Everyday Ethics for Financial Advisers is accessible and easy to read. It offers practical ways to apply ethical frameworks to real-life scenarios. It’s a textbook intended to be a long term companion as you develop your ethical muscle throughout your career as a financial adviser.

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"The ideal is for this emerging profession to have a common ethical foundation, enriched by a common understanding, informed by a common set of educational experiences. Our hope is that this new text will be widely embraced across the profession - for the good of society and the clients it serves."



The opportunities for an emerging profession
What is ethics?
Influences on decisions and behaviour
The financial advice environment
The Financial Planners and Advisers Code of Ethics 2019
Ethical decision making frameworks
Ethics in leadership and business practices
Lecturer's supplement




Dr Simon Longstaff

Dr Simon Longstaff has been Executive Director of The Ethics Centre for 30 years, working across business, government and society. He has a PhD in philosophy from Cambridge University, is a Fellow of CPA Australia and of the Royal Society of NSW, and an Honorary Professor at ANU National Centre for Indigenous Studies. Simon was made an Officer of the Order of Australia (AO) in 2013.

Dr Katherine Hunt

Dr Katherine Hunt is a researcher and lecturer at Griffith University. She has worked as a financial adviser for five years and combines this with her education in Psychology, Finance, Law and Economics to design and implement curriculums which deliver the greatest possible impact. Katherine holds the following qualifications; BPsychSc, B Comm (Financial Planning), Honours in Finance (University Medal), PhD, JP (Qualified).

Carloyn Tate

Carolyn Tate spent her first 20 years of working life in the banking industry and the last 18 years as a freelance writer, educator and consultant. She’s written four business books and one travel memoir, Unstuck in Provence. She’s a founding member of Conscious Capitalism and her company is a Certified B Corporation. Carolyn specialises in researching and writing on subjects that will improve human and planetary conditions such as purpose, leadership, ethics and gender equality.

Everyday Ethics for Financial Advisers is on sale now.