Locations

UNDERSTANDING ASIC ENFORCEMENT

SYDNEY
Please refer to our website for updated venues and dates

About the program

Understanding how ASIC undertakes investigations and enforcement activity is an essential skill in the compliance professionals armoury. Whether you are looking to put in measures to minimise risks leading to enforcement action or learning how to respond when faced with them, knowing how the regulator approaches the spectrum of its enforcement activities is essential. This advanced workshop with practical case studies of recent enforceable undertakings is aimed at equipping you with the necessary skills to discharge your duties.

Duration 1-Day

Fees

(incl GST)

$1,567.50 per person

Who is it for?
The workshop is a natural progression for those who have attended our Compliance Officer Essentials workshjop and those who are more experienced (ie: at least 3 years experience) as a compliance professional in Australia.

Course fees include workshop handouts, and CPD certification

CPD 9 Points/ Hours

Outcomes
Identify ASICs enforcement powers and how they carry out these responsibilities Discuss the various enforcement tools available to ASIC Demonstrate how to plan, prepare for and learn from an ASIC visit Illustrate ASICs approach with recent Enforcement Undertakings

Registration Please complete the registration form and return it to us:

enquiries@financialeducation.com.au P +612 9252 7437

www.financialeducation.com.au

REGISTRATION FORM
Participant information [Please print]
Participants last name: First name: Mr. Mrs. Email: Miss Ms. Date of birth [dd/mm/yyyy]:

Company name:

Business phone no.: ( ) City:

Mobile:

Company address:

State:

Postcode:

Job Title:

Department/Division:

Date of Enrolment [dd/mm/yyyy]:

Workshop Selection (valid to 30 June 2014)

Please note that all fees are payable to secure a workshop place and are not refundable. Substitutions are not allowed.

Sydney Melbourne

Perth Brisbane

Payment
Please charge my Credit Card: VISA Mastercard

Card Number: ___ ___ ___ ___

___ ___ ___ ___

___ ___ ___ ___

___ ___ ___ ___ Expiry Date: ___ / ___

CVN: ___ ___ ___

Amount: $ _____________________

Cardholder Name:___________________________________________ Signature:

Please invoice my company (EFT details will be provided on the invoice) If requesting us to invoice your company, please complete the information below Approving Manager First Name: Last Name:

Email: Title/Position: Department/Division:

Approving Managers signature:

www.financialeducation.com.au