Ensure your staff understand Australia's financial services regulations and clearly understand their role as advisers within the industry while effectively supporting customers in a financial services environment.
Australia: Corporations Act 2001 (Cth) (Corporations Act) and more
All employees, contractors, and volunteers
Australia
Structured Learning and Accelerated Learning options
Depending on format, between 20 - 40 minutes
The financial services industry has undergone major reform in recent years, and laws impose a broad licencing and regulatory system that covers anyone who provides financial services in relations to financial products.
These laws are heavily supplemented by ASIC policies. Significant penalties can be imposed for misconduct or breach of ASIC policy and statutory obligations.
Our ‘Financial Services Regime – Advisers’ course is designed to help businesses fulfill their obligations by training advisers on their responsibilities to clients. It covers key topics such as licensing, product advice, and handling financial products. Through interactive scenarios and practical guidance, this course equips advisory personnel with the knowledge to comply with legal requirements and enhance client satisfaction.
If you’re a manager looking to train a group within your organisation, external suppliers or all staff, please fill in our enquiry form and let us know the size of your organisation. Our compliance experts will assist you.
Australia: Corporations Act 2001 (Cth) (Corporations Act), Corporations Regulations 2001 (Cth) (Corporations Regulations), Australian Securities and Investments Commission Act 2001 (Cth) (ASIC Act), National Consumer Credit Protection Act 2009 (Cth) (National Credit Act) and the Superannuation Industry (Supervision) Act 1993 (Cth) (Superannuation Act), RG 36, RG 121, RG 236.
By the end of this course, participants will be able to:
Ideal for first-time learners or those with little prior knowledge, covering the entire topic in 30-40 minutes.
Allows learners who understand the topic to proceed quickly through the course in 20-30 minutes.
Short modules for time-poor learners, with each module lasting 5-10 minutes.
Quick summaries of specific compliance areas, available in office-based and field-based formats, each lasting 5 minutes.
Our client services team can deliver our courses via SCORM file if you have a Learning Management System (LMS).
Alternatively, you can use our Compliance Platform to house any training material, track policy acceptance, administer surveys, and audits—all in one place. We can get you up and running within a few weeks.
Increase your compliance by bundling our related courses. This ensures you cover multiple topics and legislations for a holistic approach.
Ensure your staff understand Australia's financial services regulations and clearly understand their role as customer service representatives within the industry, recognising their position as non-advice providers, while effectively supporting customers in a financial services environment.
Ensure your staff understand Australia's financial services regulations in relation to supporting vulnerable customers which are fair and suitable for their circumstances.
Ensure your staff understand how to identify, investigate and resolve actual or potential compliance breaches and incidents in the workplace.
Ensure your team understand how financial services firms must deal with complaints and disputes, under the Australian Securities and Investments Commission (ASIC) Regulatory Guide 271: Internal Dispute Resolution (RG 271).
Equip participants with the knowledge to comply with breach reporting guidelines and regulations.
Options include comprehensive compliance courses and short, bite-sized modules to meet diverse training needs.
Our courses feature a variety of engaging and animated content, from videos to interactive modules, all of which can be customised based on your branding or designed with specific scenarios tailored to your business.
All content is regularly updated to reflect the latest legislation, ensuring your training remains compliant.
Available via SCORM or our Compliance Platform, with regular updates provided whenever legal changes occur.
Our local Client Services team ensures a smooth setup within a few weeks and offers ongoing support for all your learning and training needs.
Renowned companies like Uber, Chubb, and David Jones rely on our compliance training solutions.
Is your organisation on the Safetrac?
Connect with our team today to explore how our courses can enhance your corporate training program or schedule a training needs analysis to tailor a solution for your compliance needs.
Use Calendly to schedule a time to speak directly to our team about your governance, risk and compliance needs.
Got questions? Reach out, and our compliance experts will get back to you with the answers.
