Assessor Resource
FNSCMP501
Comply with financial services legislation
Assessment tool
Version 1.0
Issue Date: June 2024
This unit describes the skills and knowledge involved in ensuring compliance with relevant provisions in financial laws, regulations, ethics and industry codes of practice at an organisational level.
It applies to individuals with responsibility for operational aspects of laws, regulations, rules, circulars and company policies and procedures; understanding changes and implications of laws, regulations, rules and circulars; complying with any relevant codes; and maintaining statutory records.
No licensing, legislative or certification requirements apply to this unit at the time of publication.
You may want to include more information here about the target group and the purpose of the assessments (eg formative, summative, recognition)