Navigating the Law for Financial Planners in Australia is a single program of online tutorials structured as two courses:

Course 1 covers core legal obligations and the mechanisms to ensure that they are met; and

Course 2 covers ethics and professionalism.

They assume basic familarity with financial planning as a business.

The program is entirely self-paced but should be completed with 4 months of enrolment.

A certification of completion is provided.


Outline of the Courses

Each Course is segmented into Sessions that each cover a key topic.
Each Session is comprised of lessons and supporting material.

    1. Welcome; Who this professional development is for

    2. Text version (abbreviated) of video content

    3. GreenHouse brochure; link to Greenfields Financial Services Lawyers

    1. The three areas of your business that are closely regulated

    2. Text version (abbreviated) of video content

    3. Audio file of select Explanatory Memoranda

    1. Types of clients - "Mum and dad" clients and everyone else

    2. Giving tailored advice - Your basic obligations to the client

    3. Giving general advice - Attracting potential clients, newsletters, offering your services

    4. Charging fees - Avoiding surprises for clients

    5. Text version (abbreviated) of collective video content

    6. Checklist of main compliance objectives covered in Course 1, Session 3

    7. Validation of comprehension - Course 1, Session 3

    1. Financial Services Guide: When and How

    2. Statement of Advice and Product Disclosure Statements: When and How

    3. Demonstrating Best Interests compliance

    4. Demonstrating Fee Charging compliance and Conflicted Remuneration compliance

    5. Clear explanations in documents

    6. Text version (abbreviated) of collective video content

    7. Checklist of main compliance objectives covered in Course 1, Session 4

    8. Validation of comprehension - Course 1, Session 4

    1. Competence standards to be maintained

    2. Supervising and recording ongoing professional development

    3. Authorising representatives and demonstrating that they are being well managed

    4. Text version (abbreviated) of collective video content

    5. Checklist of main compliance objectives covered in Course 1, Session 5

    6. Validation of comprehension - Course 1, Session 5

    1. Prospective changes to regulation and how it could affect your business

    2. Text version of video content

Navigating the Law for Financial Planners

  • 52 lessons
  • 0.5 hours of video content

Authors of the Program

Navigating the Law for Financial Planners was created by experts in financial services law, in managing financial advice businesses, and in risk management. In this program of guidance we bring our deep and collective experience in what makes for effective and sensible business approaches to meeting regulatory expectations.

Its principal contributors are:

Daniel Levy

Partner, Greenfields Financial Services Lawyers

Daniel specialises in helping clients meet contractual obligations and the requirements of financial services and company law. For more than 25 years he has worked closely with large companies and small firms to establish and implement management strategy and systems directed at ensuring compliance with such obligations in ways that fit the client's business needs.

Angela Longo

Partner, Greenfields Financial Services Lawyers

Angela specialises in corporate governance and financial services law. She has, for over 25 years, guided financial institutions in corporate governance and compliance management practices in the face on mounting and changing regulatory obligations and stakeholder expectations. Angela previously developed and advised on regulatory policy at the Australian Securities and Investments Commission. Her deep technical expertise and nuanced sense of what matters to regulators have been invaluable to clients in navigating and managing relationships with regulators.

Francis Ong

Partner, Reliability House risk consultants

Francis has, for over 25 years, developed and delivered significant risk management, compliance and governance solutions across business types and geographies, with strong buy-in from executive management and Boards, and to the satisfaction of regulators. He has a practical understanding of both the regulatory mindset and the commercial imperative. His corporate regulation experience includes developing regulatory policies and leading compliance assessments of financial services firms. His commercial experience includes establishing enterprise risk management and assurance programs, leading projects to identify and remediate organizational-wide problems, and creating trusted regulatory relationships.