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What will you learn about?

  • The Role of Compliance and the Regulatory Environment 
  • Key Principles of Supervision, Surveillance and Reviews 
  • Managing Conflicts of Interest and Complaints 
  • Dealing with the Regulators and Legal Actions  
  • Corporate Legislation, Governance, and Financial Requirements 

What is the course syllabus?

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Unit 1: The Role of Compliance 

Unit 2: The Regulators

Unit 3: Corporate Legislation and Governance

Unit 4: Financial Condition

Unit 5: The Compliance Regime

Unit 6: Key Principles for Compliance Supervision

Unit 7: Compliance Supervision  

Unit 8: Surveillance and Reviews  

Unit 9: Conflicts of Interest 

Unit 10: Complaints

Unit 11: Dealing with the Regulators

Unit 12: Legal Actions

Course Completion and Wall Certificate

Upon successfully completing this course, you will be able to download a Notice of Course Completion available through your student profile. This will remain on your profile as formal confirmation of course completion.

CSI will mail you a wall certificate within 4 – 6 weeks of course completion. Frames to display your certificate are available. Please ensure that your First and Last Name on your profile matches your First and Last Name on your Government Issued Photo identification – this will ensure you receive an accurate certificate.

CSI will be pleased to issue an Honours Certificate to all students who obtain a final course mark of 85% or higher.