Basic Compliance for your Practice online course
This course is designed to provide the learner with a better understanding of compliance risk management and to accept that compliance is rooted in the values of the business and is nothing more than good business practice.
Focus Area:
- Draft a simple compliance policy
- Know which regulators supervise the business
- Understand the role of the regulators and how they impact on the business
- Identify the compliance obligations and what legislation applies to the business
- Draft a basic compliance universe/ risk register
- Assess/rate the compliance risks in order to focus on the important ones.
Who should register?
Financial planners, financial advisors.
Online course details
Online course registration
Enrolments will be processed from Monday to Friday.
The delegate will be linked to online access on MyMBSE, after payment is made and the registration and enrolment is finalised by Moonstone Business School. Three business days should be allowed for this process to be completed initially.
Once successfully enrolled, all course materials and assessments become available.
The delegate will have access to their online course for 3 months from date of access, and will be able to work through the course and complete assessments during this period.
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