Training Course:Risk Management, Compliance Planning and Ethics 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:
'' Major legislative and regulatory reforms that followed a number of high-profile corporate collapses in the late 1990s and early 2000s provided the catalyst for a major focus on risk management, compliance and ethical conduct in the Australian financial services industry.
Risk Management, Compliance Planning and Ethics in Financial Services focuses on the practical application of the principles of risk management and compliance planning, along with some contemporary issues at the forefront of industry self-regulation, corporate governance practices and managing conflicts of interest in both equity research and financial product advice.
What topics will be covered?
�managing operational, legal and regulatory, ethical and reputation risk
�using standards for building a risk management framework and compliance plan
�roles and responsibilities of key players
�breach reporting, dispute resolution and selling compliance
�conflict management planning for licensees and research report providers
�ethical conduct and decision-making ...''
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 Risk Management, Compliance Planning and Ethics in Financial Services training resources.
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Commercial Lending for Business Bankers
Commercial Lending for Mortgage Brokers
Building B2B Client Relationships
Supervision Skills for New Managers
Notice: The course description on this page was captured from the Internet as historical reference or submitted by visitors. It was archived statically and not updated from day to day.
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