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.