ASIC Investigations and Enforcements

Description

The course discusses the powers that ASIC exercises to keep a check on compliance of laws.

What is ASIC and how does it operate?

ASIC is a regulatory authority that ensures fair and transparent functioning of Australia’s financial market. The course discusses the powers that ASIC exercises to keep a check on compliance of laws. It specifies ways in which ASIC deals with a variety of individuals or entities and identifies ASIC’s compulsory information-gathering powers. The course also recognises offences of non-compliance and how ASIC enforces its powers or takes administrative actions on different matters.

Estimated Time To Complete

Learning Objectives

By the end of this course, learners will be able to