Compliance Fundamentals

Compliance Fundamentals will give you the tools to achieve more effective financial services compliance in your organisation.

Our course explains how Australian Financial Services licensing works, examining the main financial services laws, regulatory guides, and other obligations.

Through exploring industry case studies and undertaking reflective activities, you’ll learn to implement policies and procedures that identify and reduce non-financial risk. See your organisation flourish as a high-performing financial workplace with a healthy compliance culture.

Program Content

Learning Outcomes

What you will learn

  • What your organisation can and cannot do under its licence authorisations
  • ASIC’s purpose, powers and current priorities
  • Tools and strategies to meet your organisation’s compliance obligations under its licence
  • Manage conflicts of interest, disputes, breaches and other compliance issues
  • Build you and your organisation’s compliance skills and resources.

Who is this course for?

  • This course is suitable for the following roles, operating in the context of an Australian Financial Services (AFS) licence:
  • Aspiring or newly authorised AFSL holders
  • Compliance professionals
  • Licensees seeking refresher training on their obligations
  • Professional services consultants advising licensees, including legal practitioners, accountants, and corporate advisers.

Units of Competency

Pre-requisite

Recognition of Prior Learning

Certification

Participants will be awarded a Certificate of Attainment.

Explore Compliance Fundamentals

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Frequently Asked Questions

What others say about us

Parallels real workplace experience.

We have been using FEP for a number of years now. The course materials are highly professional and parallels real workplace experience. Staff greatly value participating in meaningful external training and are the greatest advocates.

Efficient, informative and accessible.

The content is well set out, clear and precise. My organisation does the course every year and we are continuing to learn new and interesting things with each new offering. The content is up to date with the industry and completely relevant to my role. I had all the support and learning resources available to get it done…

Extremely relevant and meaningful.

Our firm exclusively uses the services of Financial Education Professionals for all of our ongoing RG146, compliance and responsible manager training for our team. We find course materials extremely relevant and meaningful and this allows our team to have up to date, practical knowledge.

Peter McGuire, CEO, XM