eCompliance

Category

Financial Services

24 courses

AFS and credit licensees must provide services efficiently, honestly and fairly, report breaches to ASIC, and keep their representatives adequately trained. The industry codes add obligations on top. Most enforcement follows a representative who did the wrong thing in a live conversation, so training has to work at the level of the actual call, the actual advertisement and the actual complaint.

Which one do you need?

Pick by role. Financial Services Representatives - Customer Service - Non Advice suits staff who must not stray into advice; the Financial Advisors version covers advisers. The Vulnerable Customers courses come in general, Life Insurance and Non-Banking versions, so match the product line. Add the code you subscribe to: Banking, General Insurance, Life Insurance, Insurance Brokers or Private Health Insurance. The ASIC guide courses (RG 38, 78, 234, 271, 274) target one obligation each.

Common questions

Which of the vulnerable customer courses do we need?

Match it to your product and code. Life insurers take the Life Insurance version, non-banking credit and finance providers take the Non-Banking version, and banking and general businesses take the base Financial Services Representatives - Vulnerable Customers course. Running all three across one team adds repetition without adding coverage.

Are the New Zealand courses relevant to Australian licensees?

Only if you operate in New Zealand. Conduct of Financial Institutions, Credit Contracts and Consumer Finance and Fair Insurance Code are New Zealand courses. Australian-only businesses should skip them.

Do the ASIC regulatory guide courses replace legal advice?

No. They explain what an obligation requires and how it plays out in practice, which is what a representative needs. Interpretation for your specific products and licence conditions still comes from your compliance and legal team.

How do we cover breach reporting?

RG 78 - Breach Reporting by AFS Licensees and Credit Licensees is the licensee-facing course. Compliance Incidents and Breaches for Insurers and Compliance Incidents and Breaches for Non-Insurers cover incident identification and internal escalation, which is where most breach reports actually begin.

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