Workshops

Financial Compliance Workshops and Seminars

  • Compliance in Practice

    Provides a practical introduction to the role and function of a Compliance Officer administering under an Australian Financial Services Licence.
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  • Enforceable Undertakings

    What do you do when ASIC comes knocking? This workshop examines the Enforceable Undertaking as an enforcement tool and is aimed at experienced compliance professionals and Responsible Managers.
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  • Introduction to Financial Markets

    Covers all aspects of Australian financial markets from key economic concepts and intermediaries through to major financial products, taxation and regulation.

  • Introduction to Custody

    Provides a comprehensive overview of custody in the financial services industry and gives an insight to the custodian’s workflow, processes and controls.