Business Session – Client Conduct & Care
Marisa Broome CFP
Marisa Broome CFP® is the principal of Wealth Advice, an Australian boutique financial planning practice focusing on providing comprehensive holistic advice to high net worth families. Marisa is the chair of the Financial Planning Association of Australia, having joined the Board in 2014. Marisa has been involved with the FPA working groups around the new Australian Professional Standards and their response to the recent Royal Commission. Marisa has worked in financial services for more than 30 years initially in funds management, Westpac and Macquarie amongst others, and for the last 22 years has practised as a financial planner.
Business Session – Client Conduct & Care
Other presenters
Our panel will reflect and comment on the outcomes and recommendations of the Australian Royal Commission, the recent FMA and NZ Reserve Bank reports and reviews – and the discuss the enduring and emerging expectations for financial advisers and their conduct and client-care and what really matters.
Rob Everett
Rob has been Chief Executive of the Financial Markets Authority since February 2014. Rob spent a year as a director at regulatory consultants Promontory before moving to New Zealand at the end of 2013.
Sue Brown
Sue is an experienced adviser and leader with the passion, commitment and drive to help clients achieve the outcomes they seek in the regulatory, governance and government sectors.
Karen Stevens
Karen Stevens is the Insurance & Financial Services Ombudsman (“IFSO”) in New Zealand. The IFSO is responsible for overseeing a free and independent dispute resolution service for customers of participating financial service providers.