- Explain the background to, and the need for, compliance
- Explain the philosophy and objectives of regulation
- Define what is meant by regulatory requirements
- Explain the importance of staying abreast of international trends in the regulatory environment
- Identify the stakeholders within the regulatory environment
- Explain the role of each stakeholder in the regulatory environment
- Explain the role of a regulator
- Discuss how regulators impact on business
- Discuss the basic principles, terminology and approaches common to the interpretation of statute and how to apply them correctly
Who should register?
Financial planners, financial advisors, compliance officers
6 CPD points on completion of course and successful pass of final assessment.
The course is accredited by the Compliance Institute of South Africa and thus qualifies as a verifiable CPD activity towards the accumulation of CPD hours as required by the FSCA.