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Regulation of Financial Planning in Australia

Angelique Nadia Sweetman McInnes
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A01=Angelique Nadia Sweetman McInnes
Accounting
AFSL-AR
agency theory application
Ape
Approved Product List
ASIC
Australian Financial Services
Australian Securities
Australian Securities and Investment Commission
Author_Angelique Nadia Sweetman McInnes
Category=KFCF
Category=KFCM
Category=KFCR
Category=KFFK
Category=KFFL
Category=KFFM
Common Method Bias
Commonwealth Corporations Act 2001
confirmatory factor analysis
corporate governance Australia
Corporations Amendment
Current Licensing
Dealer Group
empirical research methods
eq_bestseller
eq_business-finance-law
eq_isMigrated=1
eq_isMigrated=2
eq_nobargain
eq_non-fiction
financial adviser regulation
Financial Conduct Authority
Financial Planning
financial planning theory
Future of Finacial Advice
High Regression Weight
independent adviser licensing analysis
Independent Financial Advice
Individual Licensing
Interest Duty
Investments Commission
legitimacy theory
licensee-adviser licensing
Licensing Advisers
Product Issuers
professional ethics finance
Retail Clients
Securities Exchange Commission
Standardised Regression Weights
UK Adviser
UK Financial
UK Financial Conduct Authority
UK Financial Service
UK Policymaker
UK Retail

Product details

  • ISBN 9781032089805
  • Weight: 690g
  • Dimensions: 156 x 234mm
  • Publication Date: 30 Jun 2021
  • Publisher: Taylor & Francis Ltd
  • Publication City/Country: GB
  • Product Form: Paperback
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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.
About Angelique Nadia Sweetman McInnes

Angelique McInnes is an unorthodox wife, mother, entrepreneur, author, academic, publication reviewer and presenter. Her research interests include international finance, financial services, financial planning, financial technology and digital finance.

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