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78002 Compliance Regulation

6cp
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.
Postgraduate
Subject coordinator: J Harris

On completion of this subject, students 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 licence holders and the legal obligations that are imposed on all parties.

Access conditions

Note: The requisite information presented in this subject description covers only academic requisites. Full details of all enforced rules, covering both academic and admission requisites, are available at Access conditions and My Student Admin.