Recent ASIC Cases
With the spectre of consumer and regulator fallout from the Royal Commission continuing, it’s more important than ever to stay informed about key aspects of ASIC’s current and ongoing areas of focus.
After revisiting ASIC’s role and powers, we overview ASIC’s enforcement priorities and some important cases. Discover ASIC’s approach to and regulatory guidance on various financial services activities, and ensure that your and your organisation’s compliance standards are future ready.
Upon successful completion of this topic, participants should be able to:
- Describe ASIC’s powers under the Corporations Act and the ASIC Act
- Outline what ASIC’s key strategic priorities are as the regulator of financial services in Australia
- Explain what powers are available to ASIC in order for it to satisfy its regulatory functions
- Discuss how ASIC has recently exercised its powers with regard to licensees that have acted contrary to their licence and other regulatory obligations
- Examine what ongoing and emerging issues are currently of particular interest to ASIC, including why they are relevant to ASIC’s activities, and how developments and policy outcomes are likely to impact licensees.
Our learning management system provides you and your organisation all the usual features you’ve come to expect – an intuitive interface, reliable access to content, and insightful reporting.
Each CPD course has specific learning outcomes, reflections and extra resources and activities, and is assessed via a short online multiple choice quiz. You have 8 weeks to complete the course.