Quality Assurance

ETHICS AND TRUST

Integrity and professional competence are the cornerstones of our firm. We work hard to earn and maintain our clients’ trust and confidence. To ensure that we provide quality professional services in an independent, objective, and ethical manner we continue to implement and monitor professional development initiatives and quality and compliance safeguards within our practice.

ACCOUNTING COMPLIANCE

McSweeney CA is a Member in Public Practice with Chartered Accountants Australia + New Zealand.

Members in Public Practice in Australia must follows the mandatory requirements of the professional standard APES 320 Quality Control for Firms as issued by the Accounting Professional & Ethical Standards Board Limited (APESB). APES 320 sets the standards for Members in Public Practice and Firms to establish and maintain a system of quality control at the Firm level in the provision of quality and ethical Professional Services.

Our systems of quality control are established in compliance with this Standard. Our Firm has established and maintains a system of quality control designed to provide Reasonable Assurance that the Firm and its Personnel comply with Professional Standards and applicable legal and regulatory requirements and that reports issued by the McSweeney CA or Engagement Partners are appropriate in the circumstances. This includes a Quality Assurance Manual that documents and communicates policies and procedures to McSweeney CA’s personnel. The manual addresses each of the following elements:

• Leadership responsibilities for quality within the Firm
• Relevant ethical requirements
• Acceptance and continuance of client relationships and specific engagements
• Human resources
• Engagement performance
• Monitoring

McSweeney CA follows the mandatory requirements of the professional standard APES 110 Code of Ethics for Professional Accountants issued by the Accounting Professional & Ethical Standards Board Limited (APESB). McSweeney CA complies with the following fundamental principles:

• Integrity – to be straightforward and honest in all professional and business relationships.
• Objectivity – to not allow bias, conflict of interest or undue influence of others to override professional or business judgments.
• Professional competence and due care– to maintain professional knowledge and skill at the level required to ensure that a client or employer receives competent Professional Services based on current developments in practice, legislation and techniques and act diligently and in accordance with applicable technical and professional standards.
• Confidentiality– to respect the confidentiality of information acquired as a result of professional and business relationships and, therefore, not disclose any such information to third parties without proper and specific authority, unless there is a legal or professional right or duty to disclose, nor use the information for the personal advantage of the Member or third parties.
• Professional behaviour– to comply with relevant laws and regulations and avoid any action that discredits the profession.

 FINANCIAL SERVICES COMPLIANCE

Through its association with Blue Chip Wealth Management Pty Ltd, McSweeney CA upholds a commitment to rigorous professional standards by observing the highest levels of professional conduct in undertaking its financial activities. Our core values are:

• Trust
• Integrity
• Honesty
• Respect

Blue Chip Wealth Management Pty Ltd (ABN 26 112 046 723) is a Corporate Authorised Representative (404974) of GPS Wealth Ltd (ABN 17 005 482 726); Australian Financial Services Licence (254544) / Australian Credit Licence (254544).

Financial Advisors who are Sub-Authorised Representatives of Blue Chip Wealth Management Pty Ltd are:

• Graham Slip (232476)
• David McSweeney (1239895)

Our advisors conduct their business affairs by observing the following principles:

• Acting in the best interests of clients and not allowing their own interests or those of their employer to override the interests of their clients.
• Acting with due skill, care and diligence in conducting their business.
• Preserving client confidentiality at all times.
• Respecting the intellectual property rights of others.
• Protecting and promoting the integrity of the financial services market.
• Avoiding and/or disclosing any real or perceived conflicts of interest.
• Being true to their word.
• Respecting the dignity of others.
• Never knowingly misleading or deceiving others.
• Developing and maintaining an understanding of the ethical issues in their professional roles.

GPS Wealth was awarded by ifa as Dealer Group of the Year 2015 and CoreData Licensee of the Year.

Further information about GPS Wealth Ltd can be found at www.gpswealth.com.au

Further information about Blue Chip Wealth Management Pty Ltd can be found at www.bluechipwealth.com.au