$165.00 inc GST
Online Compliance Course
At a glance
30-45 minutes online
Corporations Act 2001
Personnel who give financial advice
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. and Accelerated iThis course type is designed for learners with prior knowledge, giving learners more ability to self-direct how they engage with the full course content. Using scenarios with voice-overs, tests within the course, and a ‘Learn More’ option, learners can engage the course on any smartphone, tablet, or PC.
Deploy our courses online via Safetrac’s Compliance LMS or opt for SCORM delivery on your company’s LMS.
About this course
The financial services industry has undergone major reform in recent years. Financial services laws under the Corporations Act 2001 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. Licensees who provide financial services advice to retail clients must meet special requirements, including that their advisers are trained and that their competencies be maintained.
On completing this course, learners should be able to:
- help deliver quality service as an employee, contract or agent; and
- understand why conduct in providing financial services on the company’s behalf must comply with financial service laws and internal requirements.
- Financial Services Representatives
- Financial Services Authorisations
- Financial products and services
- Clarifying important information
- General knowledge and training
- Licensee obligations
- Holding client money
- Financial product advice
- Elements of financial product advice
- Exceptions to financial product advice
- Margin lending facilities
- Arranging activities
- Obligations of disclosure
- Best interests of the client
- Working with the client
- Confirming transactions
- Appointment as an authorised representative
This Safetrac course has been built by qualified experienced lawyers.
Enquire about this online course
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