Struggling to find CPD training relevant to credit? 

These one hour training modules are designed for representatives of credit licensees who need to top up their CPD hours to meet the ongoing training requirements in ASIC Regulatory Guide RG206.  

Each training module is only available online and is one hour in duration.  Participants are provided with a certificate upon completion.

Each module assumes some level of knowledge of the National Consumer Credit Protection Act 2009 and the obligations of licensees, and is suitable for:

• Responsible Managers; 
• Prospective Responsible Managers; 
• Directors, secretaries and senior managers who are performing duties in relation to the credit activities provided by the licensee (and who should be 'fit and proper'); 
• Representatives (including credit representatives) who provide credit and/or provide credit assistance on behalf of the licensee; and
• Compliance staff.

 Our live online seminars are interactive and practical.  You will learn through a mix of theory and practice.  Training includes presentation, interaction and the provision of training materials. The training also allows questions to be asked throughout (see below).

Online training modules

Regulatory Developments: The Year in Review

• Changes to the credit legislation over the past 12 months
• ASIC’s recent enforcement action against credit licensees
• FOS & COSL determinations

Annual Compliance Certificate & Compliance for the year ahead

• What is it and what’s involved in lodgement?
• Declarations – the consequences of making a false declaration in a document to be lodged with ASIC
• What you should do to prepare?

Risk management

• Overview of the risk management framework
• Risk Management standard AS/NZS ISO 31000:2009
• Steps in a risk analysis

ASIC’s enforcement powers: credit licensees

• ASIC’s administrative powers under the NCCP Act and the ASIC Act
• ASIC’s compulsory information gathering powers under the NCCP Act and the ASIC Act
• ASIC’s recent enforcement action against credit licensees and registered persons

General conduct obligations & the importance of compliance culture

• Explanation of the general conduct obligations of credit licensees and representatives
• The importance of compliance culture & ASIC’s view
• Review of Enforceable Undertakings relevant to culture

The obligation to comply with credit legislation: what does this really mean?

• “Credit legislation” – what is it?
• Key provisions of the ASIC Act

Responsible lending 

• Chapter 3 of the NCCP Act 
• Regulatory Guide RG209

Conflicts of interest

• What interests?
• What conflicts?
• Dealing with conflicts of interest

Cost

The cost is $85.00 (incl. GST) per person, per module.

Sign up for one, or all!

Alternatively, contact us to schedule one or more of the following modules in a private session.

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