Many a financial services professional will probably claim to be aware of their general obligations. But an often overlooked area is that of technological resources. What does that mean, and what do the law and ASIC expect licensees to have in place?
Join us as we examine what ‘adequate technological resources’ look like in practice. Through case studies, we also explore how recent and emerging technological solutions can beneficially contribute to licensees meeting their obligation to act efficiently, honestly and fairly.”
In this course you will learn to:
- Outline the general conduct obligations of Australian financial services licensees
- Define ‘adequate technological resources’
- Explain the purpose of meeting the obligation to have ‘adequate technological resources’ and identify internal or customer-facing scenarios in which it comes into play
- Via practice-based case studies, examine how licensees and their authorised representatives can use technological resources to improve financial service and product delivery and remain compliant.
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.