Compliance: Theory and Practice in the Financial Services Industry

Course Timetable

Inhouse Home Compliance Course Visit the Library

Date Subject
01/08/17 1. Licensing
08/08/17 2. The Role of Compliance
15/08/17 3. Insider Trading and Chinese Walls
22/08/17 4. Market Conduct Rules
Wednesday
29/08/17
5. Shareholding Restrictions
05/09/17 6. Competition and Consumer Law
12/09/17 7. Combating Crime
19/09/17 8. Retail Customer Obligations and Marketing Financial Products
Assignment précises due (for those submitting one)
25/09/17-
29/09/17
Mid-semester break
03/10/17 9. Miscellaneous Compliance Issues
10/10/17  10. Managed Investments
Assignments due
17/10/17 11. Deposit Products and Non-Cash Payment Facilities, Credit Facilities, Margin Lending and ASX Stockbroking
24/10/17 12. Derivatives, Warrants, ASX 24 Futures, FX and Financial Planning
31/10/17 13. Insurance, Superannuation and RSAs
06/11/17-
10/11/17
Study vacation
20/11/17 Exam - Camperdown/Darlington, Sydney - 9.20 pm

 


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