$165.00 inc GST
Online Compliance Course
30 minutes online
Available in Australia
Structured iDesigned for learners with little prior knowledge, this course type takes the learner through the course subject sequentially – one step at a time.
Deploy our courses online via Safetrac’s Compliance LMS or opt for SCORM delivery on your company’s LMS.
About this course
The Compliance Incidents and Breaches for Non-Insurers is designed to provide you with a fundamental understanding of the processes involved in identifying, recording, and reporting incidents, operational issues, and breaches within the framework of the Australian Financial Services (AFS) Licence, along with relevant legislation, regulatory and prudential requirements, and internal policies and procedures.
In this course, you will delve into the crucial aspects of compliance, exploring why it is imperative to adhere to these obligations, how to effectively recognise and report breaches, and the essential breach reporting requirements outlined in the applicable legislative framework. Our goal is to equip you with the knowledge and skills necessary to navigate the intricacies of compliance and ensure that your organisation operates within the bounds of legal and regulatory compliance.
Enquire about this online course
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By the end of this module, you should understand:
- why it is important we comply with these obligations
- how to identify and report breaches of these laws and obligations
- the key breach reporting obligations under the relevant legislative framework
- The result of a breach
- Incidents and breaches
- Examples of incidents
- How to report an incident or breach
- The reporting process
- Immediate reporting
- Significant breaches
- Regulatory authorities
- Regulatory inquiries