You are the Operations Manager for Burleigh Financial Services, a company of accountants and financial planners. Part of your role is to ensure that all quality and compliance standards are met within the organisation. This includes identifying all of the regulatory obligations that apply to the organisation, as well as monitoring any changes.

The CEO has recently asked you to establish a formal system for identifying and monitoring regulations and has provided you with a legislation register to complete. He has also asked you to provide a short presentation to new staff that are just commencing with the organisation to ensure that all staff are clear of their regulatory obligations.

The CEO has also advised you that he would like you to investigate new qualification requirements for financial planners and the impact that this will have on staff. He has asked that you provide guidelines for staff about the expectations of the organisation.

Following the presentation, you have decided to review each staff member's file to identify how many of the financial planners will need to upgrade their qualifications. Review the folders and then email each relevant person identifying their requirements.

1.Complete Legislation, Regulations and Codes of Practice Register

Identify at least five pieces of legislation and regulations that apply to the company, and at least two Codes of Practice.

Ensure you also include the new regulations regarding the qualifications of financial planners.

The register requires you to record the following about each:

The name of the Act, Regulation or Code of Practice

Its relevance and implications for Burleigh Financial Services and its practices and procedures.