Nick Gibson and Jackie Lockie gave hugely interesting talks under this theme, on Conduct Risk, the CFP (TM) licensee Practice Standards in the light of recent Ombudsman cases, and raised a number of sparkling ideas about how to manage the interface between asset manager and planner for less compliance overhead.
Nick Gibson's slides;
Jackie Lockie's slides
The result in the Mr. H case where she complained that the mortgage broker she was using to raise money should have advised her on alternatives to her investment strategy is
here.