Risk and Compliance

Risk and Compliance

Risk and Compliance is a fundamental component of financial services.

With a growing set of regulatory and operational compliance requirements, organisations are under increased pressure. Today compliance goes beyond regulation. Society demands rigorous standards of integrity in financial services and internal control. The compliance function is an integral part of the corporate governance structure, augmenting and strengthening other aspects of control and risk management.

Regulatory liabilities can be significant, so organisations look for ways to protect themselves as enforcement becomes more assertive.

Our Risk and Compliance courses focus on what you need to know ensuring everyone who has an accountable role in an organisation is getting the right information about their responsibilities.

General Compliance Training

Our general compliance suite helps your whole organisation comply with licensing obligations.

Courses for Risk and Compliance Managers

Need help finding the right course?

Speak to our expert team

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

Regulatory News

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  • 14 January 2022
  • 20 December 2021

    ASIC announces first sitting dates for 2022 financial adviser exam

    ASIC will take over administration of the financial adviser exam...
  • 16 December 2021

    Quality of Advice Review – Draft Terms of Reference

    The Government is committed to ensuring that Australians have access...
  • 16 December 2021

    Financial adviser education standards

    In 2017, the Government introduced professional standard reforms for ‘relevant...
  • 14 December 2021

    ASIC welcomes senior leadership appointments

    ASIC is pleased to announce some senior executive and regional...
  • 10 December 2021

    APRA publishes Chair Wayne Byres’ remarks on lessons from the pandemic for financial regulation and supervision

    The Australian Prudential Regulation Authority (APRA) has published remarks delivered...
  • 10 December 2021

    APRA provides update on Prudential Standard APS 220 Credit Risk Management

    The Australian Prudential Regulation Authority (APRA) has provided an update...
  • 9 December 2021

    APRA releases new frequently asked questions on liquidity

    APRA has released a new set of frequently asked question...
  • 9 December 2021
  • 9 December 2021
  • 6 December 2021

    ASIC reports on cyber resilience assessments of financial markets firms

    Today ASIC released its latest report on the cyber resilience...
  • 2 December 2021

    APRA moves to strengthen crisis preparedness in banking, insurance and superannuation

    APRA is consulting on new prudential standards to strengthen the...
  • 2 December 2021
  • 1 December 2021

    ASIC releases guidance and examples on limited advice

    ASIC has released an information sheet on limited advice and...
  • 11 November 2021

    Whistleblower policies and the compliance gap

    ASIC's Commissioner Sean Hughes presents at the 3rd Australian National...
  • 11 November 2021
  • 1 November 2021

    Melbourne casino risks its Crown

    Victoria’s Crown Royal Commission released its final report, affirming findings made...
  • 28 October 2021

    APRA shines light on choice super sector

    APRA Executive Board Member Margaret Cole said the findings demonstrate...
  • 28 October 2021
  • 27 October 2021

    ASIC quarterly update July to September 2021

    The focuses of its activity included supporting licensees’ transition towards...