Course
Advertising - Compliance Challenge™
Compliance Challenges
Advertising - Compliance Challenge™
This compliance challenge enables you to test your compliance knowledge by applying the NCCP Act to a specific scenario, one in which the Australian Securities and Investments Commission (ASIC) took action against a financier over its advertising...
Advertising Compliance
Core Legislation
Advertising Compliance
This topic provides a high level overview of the Australian Securities and Investment Act (ASIC Act) and National Consumer Credit Protection Act obligations that impact on advertising. The topic looks at: • Legislative Environment • Key...
AML & CFT Act (NZ)
New Zealand Law
AML & CFT Act (NZ)
This topic provides a high-level overview of New Zealand’s Anti-Money Laundering & Countering Financing of Terrorism Act (AML/CFT). This topic outlines: 1. Terminology 2. Purpose 3. Risk Assessments 4. Customer Due Diligence...
AML/CTF KYC - Compliance Challenge™
Compliance Challenges
AML/CTF KYC - Compliance Challenge™
Australia’s anti-money laundering and counter-terrorism financing (AML/CTF) regime is a critical component in Australia’s defence against money laundering and serious and organised crime. The Australian Transaction Reports and Analysis...
Anti-money Laundering and Counter-Terrorism Act
Core Legislation
Anti-money Laundering and Counter-Terrorism Act
This topic will help you gain a general understanding of the Anti-money Laundering and Counter Terrorism Financing Act (AML/CTF Act). The legislation is complex, so only key compliance matters are covered. The topic covers: 1. Overview...
Australian Consumer Law
Core Legislation
Australian Consumer Law
This topic provides a high-level overview of the Australian Consumer Law, covering ten (10) key areas: • The Legislative Environment • Concepts • Misleading or deceptive conduct • False or misleading representations •...
Bribery, Fraud &  Corrupt Conduct
Governance
Bribery, Fraud & Corrupt Conduct
This topic provides an overview of the Australian laws relating to fraud, bribery and corruption, and some practical tips to manage associated risks. Areas covered include: • Concepts • Corrupt Conduct – Australia & Overseas •...
Broker NCCP Obligations
Broking
Broker NCCP Obligations
This topic provides an overview of core regulatory obligations applying to consumer finance broking operations. It covers: * The Regulatory Environment * Disclosure Documents * Responsible Lending * Process Requirements While the...
Coming Reforms - PPSA & Register
Coming Reforms
Coming Reforms - PPSA & Register
This topic deals with the government's proposed reforms to the Personal Property Securities Act and Register. Legislation is expected later in 2024. It briefly covers the reforms most likely to proceed with the intention of helping you prepare...
Coming Reforms - Privacy Act
Coming Reforms
Coming Reforms - Privacy Act
This topic provides you with information on the Government's proposed reforms to the Privacy Act, which are expected to be legislated later in 2024. It briefly covers the reforms most likely to proceed with the intention of helping you...

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