REGULATION, COMPLIANCE & BUSINESS ETHICS TRAINING SOLUTIONS

FINANCIAL SERVICES PROGRAM
REGULATION,
COMPLIANCE &
BUSINESS ETHICS
TRAINING SOLUTIONS
Stay on top of the law, regulation
Specifically designed for newly appointed
STAY
responsible managers, compliance
and compliance as it affects
managers and other senior managers,
financial services organisations.
UP-TO-DATE
this course provides a valuable overview
If you are a responsible manager,
of the Corporations Act, AML/CTF, ASIC
AND GET THE executive, compliance manager, and APRA requirements; along with other
CEO or a company director —
key legislation and important elements of
TRAINING Kaplan Professional provides a financial services regulation.
comprehensive range of short
YOU NEED
Duration: half day
courses designed specifically
for you.
Risk Management, Compliance
Short Course program
Planning and Ethics in Financial
Services
Each course covers different territory from
an overview of key legislation, regulation,
Major legislative and regulatory reforms
compliance, risk management and
as a result of corporate collapses, has
business ethics; for new or soon to be
provided a catalyst for a major focus
responsible managers and executives.
on risk management, compliance and
For experienced responsible managers,
ethical conduct in the Australian financial
senior management and company
services industry.
directors — the high level, forum style
This course outlines the risks facing
master class, facilitated by industry
financial services organisations, how
experts, provides a valuable opportunity
these risks can be managed and what
to discuss current legal, regulatory,
compliance planning is required to meet
market and business related issues.
regulatory obligations.
Short courses are offered regularly in
The way in which ethics underpins
Kaplan Professional’s public workshop
both the legal and regulatory regime
program or they can be delivered at your
in financial services is explored, along
premises as in-house training sessions.
with what contributes to sound ethical
decision making at an organisational and
Law, Regulation and Compliance in
individual level.
Financial Services
Duration: half day
Understanding the myriad of legal,
regulatory and compliance obligations
that affect the day-to-day operations
of an organisation, is crucial for senior
managers working for AFS licensees or
APRA regulated institutions.
www.kaplanprofessional.edu.au

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FINANCIAL SERVICES PROGRAM
Responsible Manager Masterclass
CORPORATE SOLUTIONS TO
This high level, forum style program
MEET YOUR NEEDS
provides a valuable opportunity to
Ontrack
discuss current legal, regulatory, market
A simple to manage, versatile, online
and business related issues and an
CPD training solution that is suitable for
opportunity to learn from others facing
responsible managers and executives,
the similar challenges in their day-to-day
along with super trustees and others
operations.
looking for continuing education that
Specifically designed for experienced
meets a compliance need.
responsible managers and executives,
compliance managers, senior
PDsessions
management, CEOs and company
Achieve compliance requirements
directors, to ensure they stay on top of
and gain a competitive advantage
what is happening in the industry.
with PDsessions. Designed to be an
engaging and flexible solution for
Duration: 2.5 hours
financial planners, PDsessions comes in
a multimedia format and uses a blend of
video, audio and written material which
can be undertaken individually or as
group training sessions.
For more information on these short
courses or training solutions call
1300 662 203 or visit
www.kaplanprofessional.edu.au.
GAIN AN LOOkING FOR AN IN-HOUSE
INSIGHT INTO
TRAINING SOLUTION?
DEVELOPMENTS
We can deliver any of our short courses as in-house training sessions for groups
IN THE of up to 25 people. You’ll benefit from course content tailored to the specific
needs of your staff and your company. Call 1300 662 203 to discuss your training
INDUSTRY
needs with a Business Development Manager.
Kaplan Higher Education Pty Ltd. ABN 85 124 217 670

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