Don’t let a breach get out of reach

Don’t let a breach get out of reach

While breach reporting under the reportable situations regime is a key obligation applying to AFS and credit licence holders, it is not something to be feared.

Financial firms should welcome it as it can assist with:

  • Identifying compliance and communication gaps and training needs
  • Demonstrating a commitment to continuing to act according to the law
  • Refining organisational procedures so employees understand them and feel more confident in performing their roles.

The obligation for an AFS licensee to notify ASIC about the occurrence of certain kinds of conduct that could lead to a breach (or possible breach) of its general obligations as a licensee or of financial services law, is contained in s912D of the Corporations Act. For credit licensees, the obligation is contained within Div 5 of the National Credit Act.

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Our breach reporting training solutions

Our training solutions are designed to support all levels of expertise within your organisation. We offer two tiers of training covering Reportable Situations.

Breach Reporting RG78

Our Regulatory CPD short course, Breach Reporting (RG78), provides a comprehensive overview suitable for compliance managers, representatives and senior leaders.  Earn 3 CPD points. Structured Learning.

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Reporting breaches

Our General Corporate Compliance module, Reporting breaches, is bite sized learning suitable for enterprise wide training. 30-45 mins. The perfect study duration, balancing convenience with learning.

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Team Training Solutions

Financial Services CPD

  • Dynamic Library: Our dynamic library ensures that you’re never out of step with regulations and industry trends, keeping your skills sharp and adaptable in a rapidly changing landscape. (40+ topics)
  • Comprehensive features: All the essential tools, including manager access, reporting, and visibility into your team’s progress, ensuring an effective and streamlined training experience.
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General Corporate Compliance

  • Tailor your learning journey: Select specific modules your team requires allowing you to focus on just the areas that matter most.
  • Effective, meaningful training: Engaging modules, helping learners to efficiently process, retain, and apply information.
  • Flexible delivery: Online via our LMS or SCORM files hosted on your LMS. Customisable to your organisation’s policies and procedures.
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