Compliance: Theory and Practice in the Financial Services Industry

Course Timetable

Inhouse Home Compliance Course Visit the Library

Date Subject
26/07/16 1. Licensing
02/08/16 2. The Role of Compliance
09/08/16 3. Insider Trading and Chinese Walls
16/08/16 4. Market Conduct Rules
Wednesday
24/08/16
5. Shareholding Restrictions
30/08/16 6. Competition and Consumer Law
06/09/16 7. Combating Crime
13/09/16 8. Retail Customer Obligations and Marketing Financial Products
Assignment précises due (for those submitting one)
20/09/16 9. Miscellaneous Compliance Issues
26/09/16-
30/09/16
Mid-semester break
04/10/16  10. Managed Investments
Assignments due
11/10/16 11. Deposit Products and Non-Cash Payment Facilities, FHSA Products, Credit Facilities, Margin Lending and ASX Stockbroking
18/10/16 12. Derivatives, Warrants, ASX 24 Futures, FX and Financial Planning
25/10/16 13. Insurance, Superannuation and RSAs
31/10/16-
04/11/16
Study vacation
07/11/16-
19/11/16
Exam - Camperdown/Darlington, Sydney - 13.50 pm

 


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