Online General v Personal Advice Training For FX & Derivatives Companies

What's covered

  • The difference between General Advice and Personal Advice – tailored to FX and Derivatives companies (corporate remitters, CFDs providers, other OTC FX and derivative businesses)
  • Role plays based on the new Westpac Case Full Federal Court decision
  • A summary of the fundamental features of the financial services reform regime
  • Consideration of relevant licensee obligations
  • AFS licence authorisations
  • Breach identification, assessment and reporting
  • ASIC's role and recent regulatory action
Price: $720.00
+ GST: $72.00
Total: $792.00
Date and Time
Wed, 24th June 2020
2:00 pm- 5:00 pmWebinar
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Please note: In consideration of the current health situation (COVID-19), we have moved our training online.  Our online half day course has been designed to provide you with an overview of the difference between general and personal advice, breach reporting and ASIC regulatory action. The sessions are interactive and a great option for sales staff, client-facing dealers, compliance managers and Responsible Managers.

Who should attend?

  • Sales staff who talk to retail clients
  • Client facing dealers who talk to retail clients
  • Marketing staff who issue promotional material
  • AFSL Responsible Managers
  • Compliance Managers and support staff who need to understand the difference between general and personal advice
  What people have said about our General v Personal Advice courses
  • "Very clear guidelines and framework to apply training and recording to" (Mitch Walls - Pepperstone Group)
  • "An interactive programme - no technical jargon" (Christopher - Pepperstone Group)
  • "Presenters used real world examples and were very engaging" (Sheldon - Pepperstone Group)
  • "Training was made fun and informative" (Joel - AAIG)
  • "It was kept light and humorous at times" (Matthew - AAIG)
  • "The interaction and use of online quiz" (Octavia - AAIG)

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