Welcome

In the 2000’s innovation around simplified rule book, fast track IPO’s and accelerated capital raises made Australia the envy of the world. An ever-onerous rule book and precedent-driven decision-making around access to capital markets has accelerated the global trend towards staying private locally. What happened and what does the future look like for access to public capital?
Professional standards CPD: 0.34 Technical competence
ASIC RG146 CPD: 0.34 Generic knowledge

Legislative reform is not required for an adviser to deliver in the client’s best interests, despite the regulatory framework that does not work for either adviser or client.

- Rethinking client communications and the SOA to be both client-friendly and compliant

- The SOA or the client file? Is there a one-size-fits-all approach?

- Utilising technology to support efficiency, leaving more time supporting the client.
Professional standards CPD: 0.17 Professionalism and ethics; 0.34 Client care and practice & 0.16 Regulatory compliance and consumer protection
ASIC RG146 CPD: 0.17 Specialist knowledge - Financial planning; 0.34 Specialist knowledge and planning & 0.16 Specialist knowledge - Financial planning

Market structure changes, such as the potential shortening of the securities settlement cycle in Europe and Asia and the expansion of the regulatory mandate to clear Treasuries in the US, will place significant pressure on firms to modernise their systems. In Australia, Phase 1 of CHESS replacement takes place.

What will be the impact of Phase 1 if not all stakeholders are ready to go live? Are participants

ready to automate post-trade activities? Is competition in clearing on the table in Australia and if so, what changes would it bring?
Professional standards CPD: 0.67 General
ASIC RG146 CPD: 0.67 Generic knowledge

Australia has a strong and mature listed equities market but does not have a well-functioning listed corporate bond market. In fact, it is smaller and less liquid than the one in New Zealand, which is a much smaller economy. With the demise of hybrids and interest rates

returning to their long-term average, investors are seeking income. Hear about ideas to address the regulatory environment that is currently hindering progress in Australia.
Professional standards CPD: 0.67 Regulatory compliance and consumer protection
ASIC RG146 CPD: 0.67 Generic knowledge

Research shows that the average adviser in Australia has somewhere between 6-9 different systems to manage their key functions and workflows. There has been significant investment by platforms to provide advisers with interoperability, with open architecture and artificial intelligence amplifying the evolution.

When advisers are more efficient it leads to more engaging interactions with their clients. Can advisers expect not just efficiency gains, but also fee, investment and service benefits as platforms evolve?
Professional standards CPD: 0.34 General; 0.33 Client care and practice
ASIC RG146 CPD: 0.34 Specialist knowledge - Financial planning; 0.33 Specialist knowledge - Financial planning

Donald Trump’s decisive U.S. election victory saw the S&P 500 Index soar. For those advising investors, the question is whether they can use the 2016 election as the departure point for what to expect going forward.

Or is the 2025 story different from 2017? What role canboth passive and active ETFs play? Do  they remain the strategic core of asset allocation? Is a globally diversified balanced portfolio  with exposure to all major asset classes adequate preparation for whatever the investment world may have in store?
Professional standards CPD: 0.34 Professionalism and ethics; 0.33 Client care and practice
ASIC RG146 CPD: 0.34 Specialist knowledge - Financial planning; 0.33 Specialist knowledge - Financial planning

On the surface, LICs and ETFs seem to do the same thing. They are both investment vehicles that provide investors with exposure to a diversified portfolio of assets. However, there are variances between the two products. How do LICs and ETFs stack up when investors are putting in place a strategy to reach their financial goals?
Professional standards CPD: 0.25 Client care and practice; 0.25 Technical competence
ASIC RG146 CPD: 0.25 Specialist knowledge - Securities; 0.25 Specialist knowledge - Securities

How is the stockbroking and wealth advice sector perceived? Are women attracted to working in the industry?

What are the industry’s purpose and values and is there a shared vision to foster inclusivity and sustainable growth? This session looks at brand research undertaken by SIAA and member CEOs, with revealing insights into the steps that need to be taken to enhance the industry’s brand.
Professional standards CPD: 0.67 Professionalism and ethics
ASIC RG146 CPD: 0.67 Generic knowledge 

Australia is a wealthy country and Australians are viewed by criminals as susceptible targets of scams and frauds. The share market is not immune and is targeted, exposing brokers and their clients to the risk of fraud. The shape of fraud is constantly evolving. What can be done to prevent and mitigate fraud activity?
How is it evolving? What lessons can be learnt to put in place protections without putting so much friction in the system that it disenfranchises clients?
Professional standards CPD: 0.34 Professionalism and ethics; 0.33 Client care and practice
ASIC RG146 CPD: 0.34 Specialist knowledge - Securities; 0.33 Specialist knowledge - Securities

Resilience can be defined as the ability to manage life’s adversity by adapting positively to a dynamic and changing environment or circumstances. Nick Farr has helped AFL and Olympic athletes reach peak performance, and kids as young as twelve trek to Everest Base Camp. Hear him speak about the building blocks to enable resilience that work for both adults and their children.
Professional standards CPD: 0.67 General
ASIC RG146 CPD: 0.67 Generic knowledge

Closing address