For Advisers - AFSL Regulation - An Introduction
This 1 hour course (including linked reading) is designed to enhance participants’ understanding of applicable AFS licence holder’s legal obligations and how to comply with them.
Learning outcomes include:
- AFSL obligations for a Company and their representatives derived from the Corporations Act 2001 as well as ASIC regulatory guides;
- The financial, organisational competence, compliance and risk management requirements;
- The monitoring, supervisory and training arrangements as well as staff and technology requirements;
- Managing conflicts, dispute resolution process, compensation and insurance arrangements, and conduct and disclosure requirements;
- Successful completion of the final knowledge quiz on learning outcomes leads to a Certificate of Completion.
You may be able to claim 1.0 CPD hour for the completion of this course in the CPD Competency category of Regulatory Compliance and Consumer Protection. For advice, consult your CDP Plan, Compliance Manager or FASEA’s CPD guidelines.