AFSL Responsible Manager Training (RG 105) – Workshop

What's covered

  • An overview of an AFSL's Responsible Manager's role
  • New: A Responsible Manager’s obligations during a crisis
  • New: Force Majeure clauses and COVID19
  • New: handling AFCA complaints
  • A summary of the fundamental features of the financial services reform regime
  • Consideration of licensee obligations
  • AFS licence authorisations (if applicable)
  • Whether personal liability attaches to your role as a Responsible Manager
  • Breach identification, assessment and reporting
  • ASIC's role and recent regulatory action
Price: $720.00
+ GST: $72.00
Total: $792.00
Location and Venue
Holley Nethercote Compliance Office
Level 22, 140 William Street
Date and Time
Wed, 3rd March 2021
9:00 am- 12:30 pm
Holley Nethercote Compliance Office
Level 22, 140 William Street
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This will be the first face-to-face public Responsible Manager workshop since the beginning of 2020!  We aim to have this workshop face-to-face in our Melbourne office, however, it will be subject to government announcements and what is safe for our staff and clients.  We will keep our registered attendees informed of any updates to this workshop. This half day course has been designed to provide you with an overview of the role of Responsible Managers, and how they fit within the broader regulatory framework.  The sessions are interactive and a fantastic option for both compliance staff and Responsible Managers.

Who should attend?

  • AFSL Responsible Managers
  • 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

  • "Current and real"  (Julie Rynski - National Australia Bank)
  • "The presenters made boring content engaging" (Shae Russell- Port Phillip Publishing)
  • "Very good examples and interactive.  Reinforced understanding of the 3 key RM responsibilities and detailed understanding on s912A" (Joe Kassel - AMP Capital)
  • "I now understand the purpose and role of the RM.  Thank you" (David Deverall - Hunter Hall)
  • "Flowed well.  Presented by hands-on experts, not trainers.  Role play very effective in highlighting issues to think about." (Mark Oliver - Macquarie Equities)
  • "Compliance made enjoyable" (Oliver Imre - IG Markets)

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