Skip to main content Skip to footer site map

Consumer Finance

Beyond disclosure – improving accountability

In 2011 and 2012, Finsia is joining with the University of New South Wales (UNSW) and the Queensland University of Technology (QUT) to undertake research about disclosure provided to retail investors. The research project will investigate the role of disclosure-based regulatory instruments applied to specific financial products in the generation of the global financial crisis. Particular emphasis will be given to the experience in the Australian marketplace. 

As part of the research project, UNSW and QUT researchers are conducting an online survey on the use of Product Disclosure Statements (PDSs) in the context of financial advice. The project is funded jointly by Finsia and an Australian Research Council linkage grant. The research aims to develop a better understanding of how PDSs are used in practice and their usefulness for investment decision-making. The outcomes of this research will provide important empirical evidence that will potentially contribute to policy reforms and inform practice.

In June 2012, Finsia distributed the on-line survey to members working as financial advisers. For information about the survey, please contact QUT’s Professor Natalie Gallery (phone 07 3138 4320 or email n.gallery@qut.edu.au).


Customers’ perceptions of fairness in financial services

Developing close professional relationships is key to the fair treatment of financial services customers, according to a report released by Finsia on 14 August 2012. The research highlights a number of areas where improvements could be made to improve customers’ perceptions of fairness of their financial services providers. Fairness in financial services is defined and measured in a number of different ways and the report provides insights into customers’ perceptions about procedural fairness, interactional fairness and distributive fairness.

The research was undertaken by Professor Steve Worthington F Fin, Department of Marketing, Monash University and James Devlin, Professor of Financial Decision Making, Nottingham University and Director, Financial Services Research Forum and was sponsored by Finsia. The research builds upon important research undertaken by the UK Financial Services Research Forum. The research involved analysing the results of an online poll conducted in April 2012 of a total of 750 respondents. Two hundred and fifty respondents were surveyed for each of the following three contexts: a customer’s main bank, a customer’s credit card provider; and a customer’s financial adviser.

The research results indicate that those financial service providers able to develop professional relationships with customers over a period of time have a distinct advantage over others in positively influencing their perceptions of fairness. Distributive fairness, in other words how the ‘pie is shared’ between the customer and their financial services provider, is the cause for most concern among consumers – they don’t believe they are getting their fair share across the three types of financial service providers surveyed.

Overall, financial advisers did well compared with their bank and credit card counterparts. This was not surprising given the opportunities they have to build personal relationships with their clients. Interestingly, banks suffered significant decreases in perceptions of fairness as customer relationships lengthened. Customers did not perceive that long relationships with their banks led to improved treatment.

Credit card providers fared worse than financial advisers and banks in a number of respects. They do not have the benefit of strong interpersonal relationships with their customers and may need to review their policies and procedures impacting customer interactions in order to explore other ways to encourage greater perceptions of fairness among users.


Consultation Paper 167: Advertising financial products and advice services: Good practice guidance

On 28 October 2011, Finsia submitted a response to the proposals set out in ASIC Consultation Paper 167: Advertising financial products and advice services: Good practice guidance. Finsia is supportive of the general thrust of the draft Regulatory Guide that forms part of the consultation paper. Finsia welcomes measures that promote professionalism in the financial services industry, including in the financial advising segment. However, Finsia believes that it is neither possible nor desirable for consumers to be free from all responsibility for the acceptance of risk when choosing financial products. Accordingly, the appropriate balance between consumer protection through the regulation of advertising and responsibility for the acceptance of risk needs to be struck.

 


Consultation Paper 153: Licensing: Assessment and professional development framework for financial advisers

On 31 May 2011, Finsia submitted a response to the proposals set out in ASIC Consultation Paper 153: Licensing: Assessment and professional development framework for financial advisers. Finsia is supportive of the broad thrust of proposals set out in the consultation paper involving a three stage assessment and professional development framework for individuals providing personal or general advice to retail clients about Tier 1 products. 


Financial wellbeing in retirement

While the relative strength of our retirement system has been lauded globally, financial wellbeing (FWB) in retirement is an issue of increasing importance to Australians. When the issue of financial wellbeing in retirement is raised, most people immediately think of superannuation and the aged pension. However, financial wellbeing in retirement actually encompasses a broad range of issues, most of which are complex and not well understood. Given the financial services industry plays a key role in assisting Australians in achieving in retirement, in 2010 Finsia commissioned the Australian Centre for Financial Studies to prepare an exposition paper to comprehensively explore the range of issues associated with it.

This paper examines the extent and sustainability of both individual and public financial resources to adequately support Australia’s ageing population. The paper acknowledges the widely varied experiences of individuals and the multitude of factors which will ultimately impact their retirement, including the current gender disparity in superannuation savings and the individual’s ability to save within the accumulation phase of life. The paper also proposes many policy options, which can be used to achieve a broad based level of FWB for all Australians.


Changing tides - consumer finance and the generational wealth divide

Despite significant financial loss, high levels of financial stress and fears of inadequate retirement savings as a result of the global financial crisis (GFC), most Australians are not about to change their approach to borrowing and investment. That’s according to research released by Finsia on 27 August 2009.

This research, conducted in partnership with UMR Research, examines the impact of the GFC on the generational wealth divide, providing fresh insights on a broad range of issues including household debt and savings levels, retirement planning and the consumer investment strategies of Australians.


Inquiry into corporate collapses, financial services and products in Australia

On 31 July 2009, Finsia made a written submission to the Parliamentary Joint Committee on Corporations and Financial Services inquiry into corporate collapses, financial services and products in Australia. The submission addressed a number of specific terms of reference. 


Reconciling wealth with leverage

In August 2008, Finsia released findings from research conducted by Roy Morgan Research, Reconciling wealth with leverage: New challenges in consumer finance, examining the distribution of wealth among Australians in the 10-year period between 1998 and 2008. It provides preliminary insights into the key issues which have influenced the spiralling levels of household debt in Australia.


Can the under 40s afford to grow old?

In 2006, as part of the 'Saving the future  – can the under 40s afford to grow old' campaign, Finsia and Crosby|Textor conducted nation-wide public opinion research of 600 Australians in the 25 to 44 years age cohort regarding the barriers and disincentives towards saving for retirement, with a particular focus on women. The research found that there was overwhelming support for the 9% compulsory superannuation regime.

As part of this campaign, Finsia presented the findings from the economic modelling prepared on its behalf by Access Economics. This economic modelling drew upon the results of the Finsia/Crosby|Textor research regarding the under-40s and attitudes towards retirement savings. The modelling considered a range of potential policy options: in particular, the potential impact on Australians of an additional 3% superannuation contribution.

Also as part of this campaign, an exposition paper was prepared for Finsia by Dr Hazel Bateman from the School of Economics, Centre for Pensions and Superannuation University of New South Wales. Primarily, Dr Bateman investigated the findings of the Finsia/CrosbyITextor public opinion research, in terms of retirement savings behaviours and attitudes. Key issues raised in the exposition paper include the key drivers of retirement saving and how international trends and systems could potentially provide some of the solutions needed to encourage young Australians to save.