Compliance is the cornerstone of good governance. Compliance Essentials will give you the tools to achieve more effective financial services compliance in your organisation.
The course contextualises Australian Financial Services Licensing, it covers the main regulatory guides, and provides practical tools to use in your workplace.
- Know ASIC’s purpose, power and priorities for 2018
- Understand what you can and cannot do under your licence authorisations
- Develop tools and strategies to meet your compliance obligations under your licence
- Manage conflicts of interest, disputes, breaches and other compliance issues
- Build compliance skills and resources.
The subject is practical and contains scenarios, checklists and exercises.
“It takes twenty years to build a reputation and five minutes to destroy it.” (Warren Buffet)