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Events

AFSL Applied Responsible Manager Workshop (Financial Advisers)

What’s covered – course competencies

  • review the role and competencies of Responsible Managers
  • identify all the authorisations in their organisation’s AFSL and those authorisations for which they demonstrate the organisational competency
  • explain the conditions of their organisation’s AFS Licence
  • identify the competencies they require to discharge their role and develop a training programme to enhance these competencies
  • identify the financial services laws
  • consider and explain the role of the Responsible Manager in developing an appropriate compliance culture within the organisation
  • compile a checklist of actions or questions a Responsible Manager should be asking (the 'RM dashboard')
  • identify actual or possible conflicts of interest and review strategies for their management
  • explain and utilise the process by which risks are managed in their organisation
  • identify and explain regulatory enforcement options available to ASIC
Price: $720.00
+ GST: $72.00
Total: $792.00
Date and Time
Wed, 24th February 2021
2:00 pm- 5:00 pmWebinar
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Our half day AFSL Applied Responsible Managers Workshop for Financial Advisers focuses on identifying required competencies of Responsible Managers and strategies for developing them.  It also explores conflicts of interests, risk management frameworks, the role of Responsible Mangers in fostering an appropriate culture and recent regulatory action.

Who should attend?

  • AFSL Responsible Managers who have attended our Introduction AFSL Responsible Managers Workshop
  • Compliance Managers and support staff who need to understand the role of Responsible Managers
  • People nominated as Responsible Managers (but who, as part of a licence application, are required by ASIC to undertake a training course like this one before ASIC will allow them to be Responsible Managers)

What people have said about our course

  • "The conversation style (was) very interactive, use of real examples, mind maps..." Leigh Watson (National Australia Bank)
  • "Depth of knowledge, examples use, real discussion." Nigel Greenaway (Eureka Funds Management)
  • "Practical application. Great examples, obviously (a) very high level of knowledge." Kate Butterworth (Compliance Matters Pty Ltd)
  • "I liked the programme because it made me think about issues I had not considered." Chris Morcom (Hewison & Associates Pty Ltd)
  • "It was clear and concise and covered topics really well." Andre Bierenbroodspot (Professional Adviser Alliance)

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