Financial Services Regime

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Course Description

The financial services industry has undergone major reform over the past decade. From the introduction of the Corporations Act 2001 to the establishment of the Financial Services Regime (FS) and the launch of the Future of Financial Advice (FOFA), financial services providers face a complex set of compliance requirements. This course explains those requirements in plain, engaging English.

Financial services cover a wide range of activities, including banking, superannuation, insurance, managed investments, options, derivatives, securities, broking, futures and other financial investments.The Salt Compliance Financial Services course will help you understand the underlying laws that relate to financial services compliance across all industries.

Additional modules can be developed for specific financial services products, such as managed investments, derivatives, banking and insurance. However, this foundational course applies to all financial services businesses.

Who is this training for?

This training is designed for staff at any level within a financial services organisation that could be exposed to a risk of breaching the current laws.

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Course Outline

  • Module 1: Introducing Financial Services Regulation
  • Module 2: Australian Financial Services Licences
  • Module 3: Disclosure Obligations
  • Module 4: Reporting Obligations
  • Module 5: Market Misconduct