Financial Advice Legal and Regulatory Obligations

Financial Advice Legal and Regulatory Obligations

Issued by Griffith University

Earners have demonstrated successful achievement of learning outcomes in the following areas: The Regulatory Environment; The Advice Process; and Taxation Planning. This badge meets the FASEA National Financial Adviser Curriculum core knowledge area for Financial Advice, Regulatory and Legal Obligations.

Skills

Earning Criteria

  • Application of the Corporations Act to the advice process with specific focus on: developing knowledge of the legal requirements for individuals and licensees; application of legal requirements for Anti-Money Laundering and Counter-Terrorism Financing Act when providing advice; application of legal requirements for privacy legislation when providing advice; compliance with Taxation Practitioners Board requirements as a registered Tax Adviser

Standards

FASEA standards
This badge meets the FASEA National Financial Adviser Curriculum core knowledge area for Financial Advice, Regulatory and Legal Obligations.