Risk Management, Compliance Planning and Ethics in Financial Services

Major legislative and regulatory reforms that followed a number of high-profile corporate collapses in the late 1990s and early 2000s provided the catalyst for a major focus on risk management, compliance and ethical conduct in the Australian financial services industry.

Risk Management, Compliance Planning and Ethics in Financial Services focuses on the practical application of the principles of risk management and compliance planning, along with some contemporary issues at the forefront of industry self-regulation, corporate governance practices and managing conflicts of interest in both equity research and financial product advice.

Who should attend?

This short course is ideal for responsible managers, executives and senior staff who may become responsible officers in the future as well as compliance managers, company directors and CEOs who want to learn how to ensure they meet their obligations to shareholders and the regulators from a governance perspective.

What will I learn?

At the end of the course:

• You will be able to identify and understand the impact of various risks on an organisation and how to manage it as well as understand how standards can be used to build a compliance program and benchmark on going compliance and continual improvement
• You will understand the role and responsibilities of senior management and the board in risk management and compliance
• You will also understand the requirements for breach reporting, dispute resolution and disclosure and conflict management
• You will learn how ethics underpin the development of financial services law and regulation, and how to apply ethical decision-making.

What topics will be covered?

• managing operational, legal and regulatory, ethical and reputation risk
• using standards for building a risk management framework and compliance plan
• roles and responsibilities of key players
• breach reporting, dispute resolution and selling compliance
• conflict management planning for licensees and research report providers
• ethical conduct and decision-making.

How to register

In-house workshops:

Our workshops can be customised and delivered at your premises giving you access to the training you need, when you need it. For more information or to discuss your training needs, please call 1300 728 505 or via email corporatesolutions@kaplan.edu.au.

Public course held at Kaplan Professional:

How to register? Please check our Calendar of Short Courses to see if the course you wish to attend is scheduled in your region. If it is scheduled in your region, click the relevant course name and follow the prompts.

Expressions of Interest: We can schedule workshops for small groups at mutually suitable times at Kaplan Professional. If you are interested in attending a workshop, please complete an Expression of Interest form to enable us assess the level of interest for that course. We will then place your name on our waiting list for that particular course and will contact you as soon as we have received sufficient interest to run the course. (A minimum of 8 participants is required to run a course.) Scheduled courses may then be open to the public.

For more information, please call 1300 527 526 or email pdmail@kaplan.edu.au.

* The PD points quoted here are intended to be used as a guide only. Your Compliance Manager or Professional Body may assess this program according to their own guidelines. To receive PD points please take this course outline to your Compliance Manager or Professional Body for accreditation.

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