Compliance: Theory and Practice in the Financial Services Industry
Course Timetable
| Inhouse Home | Compliance Course | Visit the Library |
| Date | Subject |
| 26/07/11 | 1. Licensing |
| 02/08/11 | 2. The Role of Compliance |
| 09/08/11 | 3. Insider Trading and Chinese Walls |
| 16/08/11 | 4. Market Conduct Rules |
| 23/08/11 | 5. Shareholding Restrictions |
| 30/08/11 | 6. Competition and Consumer Law |
| 06/09/11 | 7. Combating Crime |
| 13/09/11 | 8. Retail Customer Obligations and Marketing Financial Products |
| 20/09/11 | 9. Miscellaneous Compliance Issues |
| 26/09/11- 30/09/11 |
Mid-semester break |
| 04/10/11 | 10. Managed Investments** |
| 11/10/11 | 11. Deposit Products and Non-Cash Payment Facilities, FHSA Products, Credit Facilities and ASX Stockbroking |
| 18/10/11 | 12. Derivatives, Warrants, ASX 24 Futures, FX, Financial Planning and Margin Lending |
| 25/10/11 | 13. Insurance, Superannuation and RSAs |
| 31/10/11- 04/11/11 |
Exam study period |
| 07/11/11 | Exam, Law School Annexe (F10), Eastern Avenue, Camperdown Campus, ?? @9.20 am |
| ** Assignment due on 04/10/11. | |
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