7/28/2019 Understanding ASIC Enforcement
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www.financialeducation.com.au
Locations
SYDNEY
Please refer to our website for updated
venues and dates
Duration
1-Day
Fees (incl GST)
$1,567.50 per person
Course fees include workshop handouts,
and CPD certification
CPD
9 Points/ Hours
Registration
Please complete the registration
form and return it to us:
[email protected]
P +612 9252 7437
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 orlearning 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.
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.
Outcomes
Identify ASICs enforcement powers and how
they carry out these responsibilitiesDiscuss 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
UNDERSTANDING ASIC
ENFORCEMENT
mailto:[email protected]:[email protected]:[email protected]
7/28/2019 Understanding ASIC Enforcement
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www.financialeducation.com.au
REGISTRATION FORM
Participant information[Please print]
Participants last name: First name: Mr.
Mrs.
Miss
Ms.
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Company name: Business phone no.:
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Job Title: Department/Division:
Date of Enrolment [dd/mm/yyyy]:
Workshop Selection (valid to 30 Jun e 2014)
Please note that all fees are payable to secure a workshop place
and are not refundable. Substitutions are not allowed.
Sydney
Melbourne
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Brisbane
Payment
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invoice)
If requesting us to invoice your company, please complete the
information below
Approving Manager
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Email:
Title/Position: Department/Division:
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