In The Slipstream

In The Slipstream

Episode 28 - The FASEA requirements with Neil Kendall

August 01, 2018

The FASEA requirements with Neil Kendall

In this episode, we talk with Neil Kendall about the pending Financial Adviser Standards and Ethics Authority (FASEA) requirements. In a wide ranging interview, we cover many aspects of FASEA and what this will mean for financial advisers. Amongst a range of highly relevant topics, we discuss the qualifications required of advisers, the FASEA exam and what the approved code of ethics course is likely to entail. We also look at the situation for new advisers entering the financial planning profession and what will be expected of them in order to become fully qualified, including the proposed Professional Year. The expectations for CPD are also canvassed, particularly in relation to professional standards and ethics.

Neil also shares his expectations with respect to how FASEA will impact stock brokers, risk specialists and accountants. His analogy relating to the medical profession here is particularly illuminating.


The consultation papers released by FASEA referred to on during this podcast can be found on the FASEA website:

The resources provided by the Financial Planning Association (FPA) are available on the FPA website: These can be found within:
Advocacy; Policy issues; Education and professional standards requirements.
The infographics on for existing financial planners and for new entrants are particularly helpful and hence are highly recommended.

Scott’s book, Your Professional Headspace was also mentioned, due to the content it includes in Chapter 14 on going back to study. For more information about the book or to purchase go to

Scott Charlton’s contact details are:


Phone: 0409 870 330


Twitter: ScottCharlton1

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