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FNSFMK505 -Comply with financial services regulation and industry codes of practice.
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General
FNSFMK505 Discussion Forum
Face To Face Learning
FNSFMK505 Presentation
Online Learning Week One
REQUIREMENTS OF REGULATORY OBLIGATIONS
Access Source Document
AFS Licence
How do I get an AFS licence?
Procedural Requirements
Document the policy in writing
Comply with role authorities and restrictions
Currency of Regulation
Implement internal monitoring or audit
Internal Control and Audit Conference
Online Activity Week One
Online Learning Week Two
Communication Of Change Of Policy
Review Operational Process
Source and access relevant industry codes of practice
The National Credit Code
Ask Asic-Consumer Credit Webinar
EFT and EFT Code Of Conduct
Other Code Of Conduct
Interpretation Of Codes
Schedule of suggested books and records to be kept
What books and records should my company keep?
Online Activity Week Two
Online Learning Week Three
Maintaining Registration
The ASIC Training Register
The ASIC Training Register
What are the continuing training requirements?
Disclosure of capacity criteria
Contract law principles
More Rules
Organisation’s financial products and services
Relevant Industry Regulation and Process
Refrences
Online Activity Week Three
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FNSFMK505 -Comply with financial services regulation and industry codes of practice.
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FNSFMK505 -Comply with financial services regulation and industry codes of practice.
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FNSFMK505 -Comply with financial services regulation and industry codes of practice.
Skill Level
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Beginner