Understanding AFS Licence compliance

ASIC does not take a ‘one-size-fits-all’ approach to regulation. Rather, ASIC acknowledges that the obligations of licensees operating under an Australian Financial Services Licence (AFSL) will vary according to the ‘nature, scale and complexity’ of their business. ASIC requires that licensees have measures in place ensuring compliance with obligations. Furthermore, ASIC requires that compliance plans, demonstrating compliance with obligations, need to be documented.

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

This course has been designed to give compliance managers the practical tools needed to achieve effective financial services compliance in their organisation.

Who is this course for?

This course is suitable for compliance professionals within the context of the Australian financial services industry. It is an introductory course and suitable for those who have been in a compliance role for less than 3 years.

  • 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.

"Very useful information and quite tricky Exams which forces you to read and remember accurately. Learned a lot!!" Meena Pathak, Suncorp Group

"The content was well written and informative and the questions were thought provoking without being too obscure whereby more than one answer seems appropriate". Craig Edwards, Suncorp Group


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