Compliance: Theory and Practice in the Financial Services Industry
Course Timetable
| Inhouse Home | Compliance Course | Visit the Library |
| Date | Subject |
| 26/07/10 | 1. Licensing |
| 02/08/10 | 2. The Role of Compliance |
| 09/08/10 | 3. Insider Trading and Chinese Walls |
| 16/08/10 | 4. Market Conduct Rules |
| 23/08/10 | 5. Shareholding Restrictions |
| 30/08/10 | 6. Competition and Consumer Law |
| 06/09/10 | 7. Combating Crime |
| 13/09/10 | 8. Retail Customer Obligations and Marketing Financial Products |
| 20/09/10 | 9. Miscellaneous Compliance Issues |
| 27/09/10 | 10. Managed Investments** |
| 28/09/10 - 04/10/10 |
Mid-semester break plus Labour Day holiday |
| 11/10/10 | 11. Deposit Products and Non-Cash Payment Facilities, FHSA Products, Credit Facilities and ASX Stockbroking |
| 18/10/10 | 12. Derivatives, Warrants, ASX 24 Futures, FX, Financial Planning and Margin Lending |
| 25/10/10 | 13. Insurance, Superannuation and RSAs |
| 26/10/10 - 5/11/10 |
Exam study period |
| Tuesday 6/11/10 |
Exam, Law School Annexe (F10), Eastern Avenue, Camperdown Campus, 9.20am |
| ** Assignment due on 27/09/10. | |
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