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ASIC Enforcement Actions: Relationships & Conduct (G)

This topic summarises some of ASIC’s enforcement actions over a two-year period to the end of 2015, identifying key compliance obligations and risks for both brokers and lenders/consumer lessors who hold an Australian Credit Licence.

The examples cover ASIC’s actions on relationships and associated conduct between those involved in the broking and lending processes. The relevant law and ASIC guidance is provided, along with a summary of the compliance obligations demonstrated in the enforcement actions or in ASIC’s industry guidance.

The areas covered include:

• Brokers and Point of Sale Compliance
• Brokers and Lenders: Respective Liabilities
• Debt Collection Conduct
• Banning Orders

This topic provides a general overview ASIC’s actions and the compliance matters that prompted them. It provides guidance on some of the issues to consider in managing a compliance program but cannot be taken as legal advice.

There is an assessment component to this course.
  • Relationships & Conduct
  • ASIC Enforcement Actions: Relationships & Conduct Assessment
Completion rules
  • All units must be completed
  • Leads to a certification with a duration: Forever