Compliance Fundamentals

Compliance Fundamentals will give you the tools to achieve more effective management of operational, compliance and conduct risks in your organisation.

Our online course explains;

  • how Australian Financial Services and credit licensing works, examining the main financial services laws, regulatory guides, and other obligations
  • outline key requirements and intended outcomes of the main APRA prudential standards
  • aligns with the new International Standard regarding compliance management systems (ISO 37301:2021).

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 and risk culture.

Program Content

  • Financial services regulation
  • General obligations of AFS and Credit Licensees
  • Conduct of AFS and Credit Licensees
  • Developing and implementing a compliance plan
  • Regulator corporate plans and enforcement

Learning Outcomes

What you will learn

  • What your organisation can and cannot do under its licence authorisations
  • ASIC’s and APRA'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?

  • Aspiring or newly authorised AFSL or ACL 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.

Learn more about our Compliance Fundamentals

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Frequently Asked Questions