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Publications
- June Smith
| All Publications | by Category |
2010
"Professionalism
and Ethics in Financial Planning Doctor of Philosophy Study 2009"
by Dr June Smith
Victoria University
School of Law Abstract. The purpose of this study was to enhance understanding
of the ethical decision making of these financial planning participants
within this context. This study is therefore a significant one in what
is a relatively under-researched area of interest.
2009
"History
repeating itself? Lessons from the Storm Financial and Westpoint Group
collapses"
There
are significant patterns in how
financial advice was given to consumers in both the Storm Financial and
Westpoint cases, writes June Smith. This
article was originally publised in LexisNexis
Butterworths Financial Services Newsletter April 2009.
2007
"Role
of industry standards in a principle-based regulatory regime"
A high-powered industry panel was convened at the 2007 IFSA conference
to discuss the role that industry standards play in defining and regulating
financial services industry participants. June Smith reports on the panel
discussion, including the difference between principles and standards,
the purpose of industry standards, common mistakes and practical implications.
Originally published in Lexis
Nexis Financial Services Newsletter Aug-Sept 2007
double issue.
2006
"Through
the looking glass"
A
major new study into professionalism and ethics in financial planning
is being undertaken in 2006 and is set to refocus the industry on the
individual adviser and their relationship with clients. The PhD study
is being undertaken by June Smith, former General Counsel and General
Manager Policy and Regulation at the Financial Planning Association and
now a Law Partner with the Argyle Partnership. Originally published in
the FPA’s Financial Planning magazine, June 2006.
"Superannuation
choice - can financial advisers get it right?"
ASIC
released its most recent Shadow shopping survey on superannuation advice
on 6 April 2006. June Smith explains the implications of the survey results
for financial advisers, compliance managers and Australian financial services
licensees, both in relation to superannuation advice and to the quality
of financial advice overall. Originally published in LexisNexis Butterworths
Financial Services Newsletter, June 2006.
"Making
sense of Westpoint"
The
collapse of the Westpoint group of companies will have wide ramifications
for several years to come for many industries, including the financial
services industry. In this article, Argyle Partnership partner June Smith
outlines the action taken against Westpoint to date, and the case that
is likely to be made against the financial planners who advised clients
to invest in Westpoint property projects. Originally published in LexisNexis
Butterworths Financial Services Newsletter, March 2006.
2005
"NSW
payroll tax case has implications for financial services organisations"
The
decision of the NSW Supreme Court of Bridges Financial Services Pty Ltd
v Chief Commissioner of State Revenue could expose some Australian financial
service organisations to payroll tax for amounts paid to authorised representatives
by way of commissions, brokerage and fees. In this article, Argyle Partnership
partner June Smith explains that the decision raises questions about what
constitutes an adequate financial planning model and the language used
in standard dealer/representative agreements. Originally published in
LexisNexis Butterworths Financial Services Newsletter, September 2005.
"The
Right protection," by June Smith
Directors
and officers of AFSL licensees need to be able to conduct their duties
without worrying about their personal liability. So what protection can
companies offer? June Smith explains the relevant protections under the
Corporations Act, and issues arising from terms of engagement or appointment
for executive or non-executive directors, directors’ and officers’
insurance, and deeds of access and indemnity. Originally published in
Money Management’s "Argyle Advocate" column, 10 November
2005.
"Proposed
new professional standards on managing conflict of interest for financial
planners"
In
April 2005, the Financial Planning Association of Australia released draft
principles designed to assist financial planners in managing potential
or perceived conflicts of interest that might arise when providing financial
product advice under the Corporations Act 2001 (Cth). Argyle Partnership
partner June Smith explains the main legal and professional obligations
under the new standards. Originally published in LexisNexis Butterworths
Financial Services Newsletter, July 2005.
"Association
Management: A Professional Evolution" by June Smith
Like other
occupations, such as nursing, policing and financial planning, the occupation
of association management is moving towards new and important considerations
of what it means, in both an ethical and professional sense, to be an
Association Executive. Can Association Management become a recognised
profession, with Association Executives as the members of that profession,
and what does this mean? In this conference paper, originally delivered
to the AuSAE 2005 National Conference in May 2005, June Smith considers
what are the key features of a profession, what it means to be a professional,
and how an occupation evolves into a profession.