This course explains how ASIC approach their enforcement role, the particular types of breaches they respond to and why they respond to particular types of breaches in different ways.
The course is a systematic guide that covers ASIC’s regulatory powers and it’s approach to:
- Selection of matters for formal investigation
- Data gathering powers
- Enforceable undertakings
- Infringements notices
- Fines and penalties
FASEA CPD Areas:
- Regulatory Compliance : 1.00
- Professionalism and Ethics: 1.00
