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OpenLearning

When should you report a suspicious matter?

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Overview

Mode of delivery

  • Online/self-paced

WSU CONTINUING PROFESSIONAL DEVELOPMENT FOR FINANCIAL ADVISORS

This CPD program contains content which will enhance knowledge and skills within the Regulatory Compliance and Consumer Protection CPD activity area inorder to meet obligations under theCorporations (Relevant Providers Continuing Professional Standard) Determination (Amendment) 2020

What is CPD?

CPD is the intentional maintenance and development of the knowledge and skills needed to perform ina professional context.Under the Corporations Act 2017 (the Act) all individuals identified as a ‘relevant provider’ must meetthe requirements for continuing professional development set by the Standards Body (s 921B(5)).

Additionally, it is an obligation under the Financial Planners and Advisers Code of Ethics 2019 that financial advisers must develop,maintain and apply a high level of relevant knowledge and skills (Standard 10).

Syllabus

  • Ability to recognise reportable transactions
  • Determine what is a suspicious transaction in money laundering
  • Demonstrate an understanding of what triggers a suspicious matter report (SMR)
  • Demonstrate an understanding of how to make a suspicious matter report (SMR) to AUSTRAC

Taught by

Western Sydney University

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