Description
Focus Area
- Demonstrate understanding of the need for the more robust investigations and enforcement framework under the FSR Act.
- Demonstrate understanding of the regulator’s powers pertaining to information gathering, onsite inspections and investigations
- Demonstrate understanding of the regulator’s powers concerning guidance notices, interpretation rulings, directives and enforceable undertakings
- Demonstrate understanding of court orders, debarment proceedings, leniency agreements and administrative penalties under the FSR Act.
- Demonstrate understanding of the implications of the inspections and enforcements provisions for financial advisors and financial institutions.
Who should register?
Financial advisors
CPD information
2
