Description
Learner Guide with Unit Content, Assessment Tasks, Competency Records, Benchmark Answers and Assessment Mapping for FNSFMK515 Comply with financial services regulation and industry codes of practice.
This unit describes the skills and knowledge required to ensure compliance with finance industry regulations and industry codes of practice on an organisational level.
It applies to individuals who use, maintain and disseminate highly specialised knowledge to a range of personnel to ensure compliance and quality standards.
Work functions in the occupational areas where this unit may be used are subject to regulatory requirements. Refer to the relevant regulator for specific guidance on requirements.
FORMAT: Customisable MS Word
Qualifications that include this unit
- FNS50222 – Diploma of Accounting
- FNS60920 – Advanced Diploma of Paraplanning
- FNS51420 – Diploma of Loss Adjusting
- FNS50217 – Diploma of Accounting
- FNS40820 – Certificate IV in Finance and Mortgage Broking
- FNS60822 – Advanced Diploma of Integrated Risk Management
- FNS60720 – Advanced Diploma of Financial Licensing Management
- FNS60222 – Advanced Diploma of Accounting
- FNS50322 – Diploma of Finance and Mortgage Broking Management
- FNS50720 – Diploma of Superannuation
- FNS51820 – Diploma of Financial Services
- FNS50722 – Diploma of Superannuation
- FNS51822 – Diploma of Financial Services
- FNS60820 – Advanced Diploma of Integrated Risk Management
- FNS50922 – Diploma of Banking Services Management
- FNS60722 – Advanced Diploma of Financial Licensing Management
- FNS41820 – Certificate IV in Financial Services
- FNS40821 – Certificate IV in Finance and Mortgage Broking
- FNS50320 – Diploma of Finance and Mortgage Broking Management
Skill sets that include this unit
- FNSSS00010 – Anti-money Laundering and Counter Terrorism Financing Skill Set
- FNSSS00021 – Mortgage Lending Skill Set
