Assessor Resource
FNSFMK505A
Comply with financial services legislation and industry codes of practice
Assessment tool
Version 1.0
Issue Date: May 2024
This unit has application to the financial markets and other financial services sectors and is applicable to job roles specifically dealing with compliance functions such as compliance officers and managers.
This unit describes the performance outcomes, skills and knowledge required to ensure compliance with financial laws, regulations, and industry codes of practice on an organisational level.
This unit is applicable to individuals working within enterprises and job roles subject to licensing, legislative, regulatory or certification requirements including legislation administered by the Australian Securities and Investments Commission (ASIC) and the Australian Prudential Regulation Authority (APRA).
You may want to include more information here about the target group and the purpose of the assessments (eg formative, summative, recognition)