The Regulation of Financial Planning in Australia: Current Practice, Issues and Empirical Analysis

1st Edition

Angelique Nadia Sweetman McInnes

Routledge
July 26, 2019 Forthcoming
Reference - 296 Pages - 60 B/W Illustrations
ISBN 9780367149970 - CAT# K413238
Series: Routledge Advances in Management and Business Studies

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Summary

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.

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