Training Course:Law, Regulation and Compliance in Financial ServicesSchool/Trainer:Kaplan Education Pty Ltd
Brisbane, Melbourne, Perth, Sydney, Australia
Course Format: Classroom | E-learning | Virtual Class | Online/Live | On-site/In-house | Blended | Self-paced
Course Description:
'' The legislative and regulatory environment in which AFS licensees and APRA regulated institutions operate is complex and constantly changing. The obligations imposed upon licensees by financial services regulation must be clearly understood and carefully managed in order to not put a business at risk. Understanding these obligations is crucial for anyone holding a senior position within an AFS licensee or APRA regulated institution.
This short course is designed to provide a valuable overview of the Corporations Act, other key legislation and important elements of financial services regulation affecting organisations in the business of offering financial products and services.
What topics will be covered?
�key legislation and the role of the regulators
�the AFS licensing and disclosure regime
�the role and obligations of key players in the organisation
�adviser–client relationships and dispute resolution
�breach reporting
�managing conflicts of interest
�anti-money laundering
�other law regulation ...''
Elements of this syllabus are subject to change.
Please go to the school's official website for training price and schedule:
http://www.kaplanprofessional.edu.au/
Phone:(02) 9908 0200, (03) 9626 4500, (07) 3018 0800, (08) 6267 7900
School Address/Venue(s):
Sydney
Level 4
45 Clarence Street
Sydney NSW 2000
Melbourne
Level 4
4 Freshwater Place
Southbank VIC 3006
Brisbane
Level 11
12 Creek Street
Brisbane QLD 4000
Perth
Suite 1, Level 6
12 St Georges Terrace
Perth WA 6000
Jobs & Resumes: Brisbane, Melbourne, Perth, Sydney
Houses & Roommates: Brisbane, Melbourne, Perth, Sydney
Travel Agencies: Brisbane, Melbourne, Perth, Sydney
Search other schools for Law, Regulation and Compliance in Financial Services training resources.
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