Financial Services Regime – Customer Service Representatives Course

Course preview

At a glance

Course length:
30-45 minutes online

Regulation/Law:
Corporations Act 2001

Course audience:
Personnel who work in financial institutions

Region:
Available in Australia

Course type:
Structured LearningiDesigned for learners with little prior knowledge, this course type takes the learner through the course subject sequentially – one step at a time.

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. Significant penalties can be imposed for misconduct or breach of ASIC policy and statutory obligations.

Safetrac’s ‘Financial Services Representatives – Customer Services Representatives’ course is designed to assist businesses in meeting their obligations by training non-Advisers in relation to their responsibilities to clients, while maintaining a competent provision of insurance services.

Learning outcomes

On completing this course, learners should be able to:

help deliver quality service as an employee, contractor or agent;
understand why conduct in providing financial services on the company’s behalf must comply with financial service laws and internal requirements; and
assist in increasing client satisfaction with the services provided and lessen the risk of non-compliance.

Course contents

Financial Services Representatives
Financial Services Authorisations
Financial products
Financial services
Financial product advice
Purely factual information
Situations that are not financial product advice
Dealing in a financial product
Disclosure to clients
Cooling-off right
Complaints handling and dispute resolution
Misconduct in providing financial services

This Safetrac course is built in conjunction with:

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