Understanding AFS Licence compliance

With sound governance, your organisation can put in place the right people and processes to compliantly achieve the business goals it aspires to.

Compliance Fundamentals will give you information and tools to effectively maintain financial services compliance in your organisation.

As Warren Buffett once said “it takes twenty years to build a reputation and five minutes to destroy it.” 

Who is it for?

  • Compliance professionals
  • Aspiring responsible managers
  • Licensees seeking refresher training on their obligations
  • Senior leaders and company directors
  • Professional services consultants advising licensees, including legal practitioners, accountants, and corporate advisers.


Content covered

Topic 1 Financial Services Regulation: how the financial services industry is regulated in Australia
Topic 2 General obligations of AFS Licensees: organisational competence, managing breaches, and why responsible managers are entity superheroes
Topic 3  Conduct of AFS Licensees: orchestrating sound business practice around conflicts of interest, disclosure, dispute resolution and managing risk
Topic 4 Compliance Plan: getting your people, policies and procedures in order
Topic 5 Recent ASIC cases and focus areas: the regulator is on patrol. What’s on their watch list?


This course is practical, and contains scenarios, checklists and exercises.


CPD points Assessment  Fee (per person)
20 CPD points MCQ exam after each topic $645.00


Find out more

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