78002 Compliance Regulation

Requisite(s): 60 credit points of completed study in C04148 Master of Law and Legal Practice

These requisites may not apply to students in certain courses.

There are also course requisites for this subject. See access conditions.

On completion of this subject, students should have developed: an understanding of the regulatory compliance regime under the Corporations Act 2001 (Cwlth) post the Financial Services Reform Act's environment; an understanding of and ability to critically analyse the processes of corporate governance, due diligence and compliance within the financial services industry; and a detailed knowledge of the roles of financial planners, principal and agent ASIC/APRA license holders and the legal obligations that are imposed on all parties.