Description
Compliance is the cornerstone of good governance. Compliance Fundamentals will give you the tools to achieve more effective financial services compliance in your organisation.
The course explains how Australian Financial Services licensing works, examines the main regulatory guides, and suggests real-world tools to use in your workplace.
Upon completion of Compliance Fundamentals you should be able to:
- Discuss what your organisation can and cannot do under its licence authorisations
- Explain ASIC’s purpose, powers and current priorities
- Develop 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.
This course is practical, and contains scenarios, checklists and exercises.
