Compliance Regulatory Requirements



Accreditation expiry date: 31/05/2024

This course will cover applying the compliance regulatory requirements. Regulatory requirements are those requirements that are required by law. It includes the restrictions, licenses, and laws applicable to a product or business, imposed by the government. Violations of regulatory compliance regulations often result in legal punishment, including imprisonment. Regulatory compliance is making sure that any business or action conducted by a company is within legal parameters and/or that all “reasonable” actions have been taken to prevent incidents. The first step in risk mitigation can be used as a defence when regulatory requirements are inadvertently not met by providing evidence that all necessary and reasonable actions were taken to prevent an incident.

Professional Body: FPI
Approval Number: FPI23035419

Once you have completed this course you will be able to:

  • define and explain what is meant by ‘regulatory requirements’.
  • identify and discuss how to identify the regulatory requirements relevant to the organisation and its products and services.
  • identify and explain the sources of information that are used to identify the compliance (regulatory) universe of an organisation.

Who Should Register

  • Key Individual
  • Compliance Officer


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