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Compliance Bundle

Kaplan Professional’s ‘Compliance Bundle’ includes five one-hour modules that cover essential compliance needs in a cost-effective solution.

The ‘Compliance Bundle’ includes the following modules:

• Anti-money laundering and counter terrorism financing (2 modules)
• Privacy and data protection (1 module)
• Information security awareness (1 module)
• Modern Slavery Act (1 module)

View further details regarding each module by filtering via Knowledge Area.

Understanding Financial Markets

This short course is designed as an induction course for new entrants to the financial services industry. It provides a comprehensive understanding of the operations of the industry, the financial products used within the industry, and the markets for these products.

On completion of this course, individuals should be able to:

• Understand financial products and the interrelationships between the market for these products
• Explain the framework in which financial markets operate and the way they are influenced by external and internal dynamics

There are four modules in this short course:

1. Australian financial markets
2. Asset classes and financial products
3. Factors that affect financial markets
4. Global financial markets

Who is this short course suitable for?

• New staff in financial services
• Support and operations staff
• Banking professionals (Tier 2)
• Marketing
• IT

Assessment:  A short assessment must be completed for each module. Each assessment has a 75% pass rate.

 Price: $235 per person (corporate rates available)

Responsible Manager (General Financial Services)

Kaplan Professional’s 100% online Responsible Manager short courses are ideal for financial services organisations who need to manage their Responsible Managers’ continuing professional development (CPD) obligations. Whether you require induction training for new Responsible Managers, or ongoing or refresher training for existing Responsible Managers, our purpose-built short courses and forums can assist with your licensing duties.

The Responsible Manager (Financial Advice) and Responsible Manager (Credit) short courses each comprise of 10 digital modules, providing eight (8) CPD hours/points. The Responsible Manager (General Financial Services) short course comprises of 8 digital modules, providing six (6) CPD hours/points. The courses reflect significant changes to the regulatory landscape and recent legislative amendments. Each short course is delivered in an engaging and interactive way, leveraging the latest in digital learning with knowledge check activities and various multimedia formats such as videos, motion graphics and infographics.

The assessment for each module comprises eight (8) questions and requires 75% to pass. On successful completion of all course modules, learners will receive a certificate of completion and be eligible to receive a digital badge.

The Responsible Management short courses include:

• Responsible Manager (Financial Advice)
• Responsible Manager (Credit)
• Responsible Manager (General Financial Services)

Responsible Manager (General Financial Services)

The Responsible Manager (General Financial Services) short course considers the role and responsibilities of Responsible Managers within their organisations and the industry more broadly. Throughout the 8 modules, the short course will:

1. Discuss the regulatory landscape and the role of key regulators
2. Examine recent updates to legislation and regulation
3. Discuss the obligations of responsible managers (RMs) regarding the issue of personal and general advice
4. Explore current rules and potential amendments to wholesale client eligibility rules.

Responsible Manager (Credit)

Kaplan Professional’s 100% online Responsible Manager short courses are ideal for financial services organisations who need to manage their Responsible Managers’ continuing professional development (CPD) obligations. Whether you require induction training for new Responsible Managers, or ongoing or refresher training for existing Responsible Managers, our purpose-built short courses and forums can assist with your licensing duties.

The Responsible Manager (Financial Advice) and Responsible Manager (Credit) short courses each comprise of 10 digital modules, providing eight (8) CPD hours/points. The Responsible Manager (General Financial Services) short course comprises of 8 digital modules, providing six (6) CPD hours/points. The courses reflect significant changes to the regulatory landscape and recent legislative amendments. Each short course is delivered in an engaging and interactive way, leveraging the latest in digital learning with knowledge check activities and various multimedia formats such as videos, motion graphics and infographics.

The assessment for each module comprises eight (8) questions and requires 75% to pass. On successful completion of all course modules, learners will receive a certificate of completion and be eligible to receive a digital badge.

The Responsible Management short courses include:

• Responsible Manager (Financial Advice)
• Responsible Manager (Credit)
• Responsible Manager (General Financial Services)

Responsible Manager (Credit)

The Responsible Manager (Credit) short course considers the role and responsibilities of Australian Credit Licence (ACL) Responsible Managers. Throughout the 10 modules, the short course will:

1. Examine recent legislative and regulatory updates in a credit context
2. Explore the social impact and responsibilities of ACL Responsible Managers
3. Consider topical issues facing the credit industry today
4. Focus on the importance of consumer protection and enhancing the quality of credit activities.

Privacy and Data Protection

An understanding of the Privacy Act and the importance of data protection is essential for all employees. This short, one-hour duration module explores the Privacy Act 1988, and how it has evolved and increased in significance over time with the continued evolution of technology and the sophistication of cybercrime. The module covers the difference between personal and sensitive information and other key considerations of privacy and data protection. It explores the implications of data breaches, key obligations under privacy legislation, recent case studies, and some best-practice approaches.

On completion of the course, individuals should be able to:

• Discuss key considerations of the Privacy Act 1988
• Distinguish between personal and sensitive information
• Outline the implications of data breaches on organisations and individuals
• Explain ways to manage data effectively

Who is this short course suitable for?

• All employees
• Financial advisers
• Support and operations staff
• Banking professionals (Tier 2)
• Managers
• Risk and compliance managers
• IT systems staff and business analysts

Assessment: A short assessment must be completed for each module. Each assessment has a 75% pass rate.

Price: $60 per person (corporate rates available)

Duration: 1 hour

Modern Slavery Act

Australia’s Modern Slavery Act 2018 is the first national legislation to define modern slavery. The Modern Slavery Act 2018 obliges entities with more than $100 million in consolidated revenue to report on the risk of modern slavery occurring in supply lines or investments.

Given the inter-connectedness of modern business and the scale of modern slavery, it’s essential to understand what modern slavery is and how it impacts financial services. This short, one-hour module will discuss the Modern Slavery Act 2018, what it sets out to achieve, and how to identify human rights risks.  It will review who needs to report, the reporting requirements, how to work with suppliers/investees, and how to respond when modern slavery is identified.

On completion of the course, individuals should be able to:

• Explain what’s defined as modern slavery
• Explain the purpose of the Modern Slavery Act 2018 and the statements provided by businesses
• Outline how modern slavery impacts financial services
• Understand the reporting requirements and when the statements are required
• Identify circumstances of human risk, in particular within financial services

Who is this short course suitable for?

1. All employees
2. Financial advisers
3. Support and operations staff
4. Banking professionals (Tier 2)
5. Managers
6. Risk and compliance managers
7. IT systems staff and business analysts

Assessment: A short assessment must be completed for each module. Each assessment has a 75% pass rate.

Price: $60 per person (corporate rates available) 

Duration: 1 hour

Information Security Awareness

Information security awareness is essential. It’s important that everyone is vigilant for suspicious behaviour that could be an indication of cybersecurity threats. If employees don’t take care to ensure the security of their work devices and there’s a data breach, the result can be catastrophic losses, repercussions and legal consequences.

This short, one-hour module discusses data breaches and examines what can be done to reduce the risk of one occurring.

The impacts and consequences of some of the more common types of attacks, such as phishing and malware, are discussed to provide a more thorough understanding of what exactly can go wrong (and how to respond appropriately).

On completion of the course, individuals should be able to:

• Identify situations where information security could be compromised
• Explain how and why data breaches occur, and discuss how to reduce risk and respond to data breaches
• Identify basic cybersecurity settings that can be implemented to reduce risk, including secure back-up of information and data
• Explain common types of attacks that can occur, and discuss their potential impacts and consequences

Who is this short course suitable for?

• All employees
• Financial advisers
• Support and operations staff
• Banking professionals (Tier 2)
• Managers
• Risk and compliance managers
• IT systems staff and business analysts

Assessment: A short assessment to be completed at the end of the module. The assessment has a 75% pass rate.

Price: $60 per person (corporate rates available) 

Duration: 1 hour

Funds Management Markets and Products

This short course is designed for new entrants to the funds management industry.

The Australian funds management industry is one of the largest in the world.

However, with hundreds of managed products available, the industry can be bewildering for new entrants learning about the industry and how to approach their role.

Additionally, Australia has one of the most stringent regulatory regimes in the world. Understanding how managed funds are regulated is vital to appreciating how this dynamic industry operates.

On completion of the course, individuals should be able to:

• Understand the funds management industry and its markets, and the main products it offers to investors in both the superannuation and non-superannuation markets
• Explain key developments in both retail and wholesale markets and the regulatory environment
• Outline the main investment concepts including the major asset classes, investment risk/return, asset allocation and manager style

There are four modules in this short course:

1. Introduction to managed funds
2. Overview of the legal and regulatory environment
3. Characteristics of managed funds
4. Superannuation

Who is this short course suitable for?

• New staff in funds management and superannuation
• Service provider organisations
• Master trust or platform providers
• Superannuation fund employees
• Support and operations staff
• Call centre staff
• Marketing
• IT

Assessment: A short assessment must be completed for each module. Each assessment has a 75% pass rate.

Price: $235 per person (corporate rates available)

Financial Statement Fundamentals – Small and Medium Enterprises

This short course is designed to enhance an individual’s understanding of the three main financial statements and linkages (namely the statement of financial position, the statement of profit or loss, and the statement of cash flows).

This information can be used for analysing financial performance by way of ratio analysis, the techniques used in analysing the financial position of a company and interpreting current and potential future performance.

Individuals will gain an understanding of the concept of accrual accounting, profit, cashflow and other accounting issues relevant to small and medium enterprises.

This short course would also be particularly beneficial for non-finance professionals, and also those who may wish to deepen their understanding of reading and interpreting financial statements (e.g. when providing finance to small companies and businesses).

A Certificate of Completion is awarded on successful completion.

Topics

1. Introduction to financial reporting
2. The statement of financial position
3. The statement of profit or loss and the statement of cash flows
4. Analysis and interpretation of financial statements

Learning outcomes

On successful completion, individuals should be able to:

1. Read and understand the main financial statements
2. Understand the linkages between the main financial statements
3. Interpret financial performance using ratio analysis techniques
4. Analyse financial statements (profit, loss, gearing, and liquidity) for small and medium enterprises

Assessment: There is an assessment to be completed for each topic. Each assessment contains four questions with a 75% pass rate.

Price: $475 per person (corporate rates available)

Note: If you need to understand how to analyse publicly-listed companies, please refer to Understanding and Analysing Financial Statements.

Empower Suite (Be a storyteller)

Kaplan Professional’s ‘Empower Suite’ of microlearning modules enables you to deliver soft skills training to your organisation in an interactive and engaging way.

Developed in conjunction with one of Australia’s best e-learning consultants, leading corporate organisations and specialist legal firms, content is both legally approved and addresses the dynamic needs of businesses today.

Each digital module takes 15 minutes to complete, making it an efficient and effective medium to deliver training to employees. Modules can be purchased as a package or individually, depending on your organisation’s needs.

Modules:

• Be a storyteller

Duration: 15 minutes per module

Price: $15.75 per module ($52.50 for all 5 modules)