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.

The course explains how Australian Financial Services licensing works, examines the main regulatory guides, and suggests real-world tools to use in your workplace.

Who is it for?

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


Upon completion of Compliance Fundamentals you should be able to:

  • Discuss what your organisation can and cannot do under its licence authorisations
  • Explain ASIC’s purpose, powers and current priorities
  • Develop tools and strategies to meet your organisation’s compliance obligations under its licence
  • Manage conflicts of interest, disputes, breaches and other compliance issues
  • Build you and your organisation’s compliance skills and resources.

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


Level CPD points Assessment task Fee (per person)
Introductory 20 CPD points Multiple Choice (open book exam) $645.00


Enrol now

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