Client Monies Regulation - An Introduction
This 1 hour course (including linked reading) is designed to enhance the participants’ understanding of the regulation of Client Monies including some of the ASIC Market Integrity Rules that govern the Markets.
Learning outcomes include:
- Client Monies Overview
- Markets Regulation
- Client Monies Obligations
- Supervision and Risk Management
- Governance, escalation and reporting
- Consequences of misconduct
- 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.