AFSL – Responsible Manager Workshop (Introduction)

What's covered

  • An overview of an AFSL's Responsible Manager's role
  • 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 Offices
Level 22, 140 William Street
Date and Time
Thu, 23rd January 2020
9:00 am- 12:30 pm
Holley Nethercote Offices
Level 22, 140 William Street
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Our 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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