Thursday 31 July 2025
12:00pm-1:00pm (AEST)
Up to 1 CPD hour available
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One clear message from our annual membership survey is that members expect high standards of professional conduct from their fellow association members, and expect that the association will actively investigate reports of unethical conduct and take appropriate steps where member conduct falls below the standard expected by their peers.
Every year the FAAA’s professional standards team receives a number of reports of unethical conduct involving members. Although this will involve less than 0.3% of members annually, the FAAA takes these matters seriously and will investigate according to its Conduct & Integrity Regulations. Where the Professional Standards team believes that there is strong evidence of unethical conduct, a case will be brought to our independent Conduct Review Commission, where a panel of FAAA members will provide an independent finding on whether the conduct was unethical, and what sanction should be applied.
This webinar will look at how this process works in practice, and will also examine recent case studies from the perspective of assisting members to understand why the unethical conduct occurred, and how the member could have prevented themselves from falling below the standards expected by their peers.
Phil Anderson
GM Policy, Advocacy & Standards, FAAA
Phil Anderson is the General Manager Policy, Advocacy & Standards of the Financial Advice Association Australia (FAAA). Phil had spent over 10 years at the Association of Financial Advisers (AFA), including most recently as CEO before the successful vote to merge with the Financial Planning Association (FPA).
He has previously worked for Netwealth as General Manager Governance and Advice, and Colonial First State, where he was the Head of Risk Management & Compliance for the CFS Advice business. Phil has been in the financial services industry for over 25 years, having also worked with AMP, MLC and Perpetual.
Phil has been responsible for policy, including the Quality of Advice Review, and the implementation of the requirements of the Professional Standards legislation and the Royal Commission Recommendations. Phil has previously been integrally involved in the FoFA, TASA, Education/Professional Standards and the Life Insurance Framework debates including driving the development of submissions to FASEA, Treasury, ASIC, the Tax Practitioners Board and Parliamentary Committees. Phil is a CPA and has a Bachelor and Masters of Commerce along with the DFP and ADFP.
Robert Kimberley
Head of Professional Standards & Accountability, FAAA
Rob has been working with the FAAA since March 2021 and is responsible for delivering the FAAA’s professionalism function.
He has over 15 years’ experience in the financial services industry in Australia and internationally, working in both the public and private sectors, for wealth management firms, top tier banking groups and regulatory bodies, specialising in dispute resolution and advice review
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