The Regulation of Financial Planning in Australia: Current Practice, Issues and Empirical Analysis, 1st Edition (Hardback) book cover

The Regulation of Financial Planning in Australia

Current Practice, Issues and Empirical Analysis, 1st Edition

By Angelique Nadia Sweetman McInnes


296 pages | 60 B/W Illus.

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Hardback: 9780367149970
pub: 2019-07-26
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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.

Table of Contents

1. Introduction

2. International Trends in Financial Adviser Regulation

3. Legitimacy of Current Licensee-Adviser Licensing for Australian Financial Advisers

4. Research Paradigm, Methodology and SEM Design

5. Contextualising Current Licensing of Financial Advisers: Preliminary Analysis using Confirmatory Factor Analysis

6. Empirical Analysis of the Current AFSL-AR Licensing Regime and the Existing Licensee-Adviser Relationship

7. Conclusion

About the Author

Angelique McInnes is a Financial Planning Lecturer and Researcher in the School of Business and Law, at Central Queensland University, Australia.

About the Series

Routledge Advances in Management and Business Studies

Management and business studies are firmly established as a popular, important and significant area of study in the academic world. Bringing together theories and thought from a wide range of disciplines, this series features cutting -edge research addressing all the major issues in business and management today, helping to define and advance the field.

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Subject Categories

BISAC Subject Codes/Headings:
BUSINESS & ECONOMICS / Economics / General