With all regulators shining a spotlight on non-financial risk, it is now more important than ever to ensure everyone who has an accountable role in an organisation is getting the right information about their responsibilities.
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. This course is practical, and contains scenarios, checklists and exercises.
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.
Who is this course for?
This course is suitable for the following roles, operating in the context of an Australian Financial Services (AFS) licence:
- Compliance professionals
- Aspiring responsible managers
- Licensees seeking refresher training on their obligations
- Senior leaders and company directors
- Professional services consultants advising licensees, including legal practitioners, accountants, and corporate advisers.
What level is this course?
The course is pitched at an introductory to intermediate level and is suitable for those who have been in a compliance role for less than 3 years.
“The content was well written and informative and the questions were thought provoking without being too obscure whereby more than one answer seems appropriate”. Craig Edwards, Suncorp Group
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