For licensees that take compliance seriously, the key is prevention rather than cure.
We specialise in training for Responsible Managers and compliance staff of licensee. We also provide training to staff of financial institutions, regulators and support industries.
We get that regulatory obligations and the law can be quite dry, and let’s be honest, quite boring. That’s why our team are constantly trying new methods of training delivery, whether it be through role plays, activities, or through technology, we always try and make the session more engaging and one to remember.
Stats – Some of our popular training courses we’ve held are:
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|AFSL Responsible Manager Training
|Personal v General Advice
|Best Interests, Advice & All That
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We’re able to provide tailored training to your organisation on topics such as:
· Life Insurance Advice
· Best Interests, Advice & All That
· Accountants, Licensees and Financial Advice
· FSR and No Advice
· Mock Court for Financial Planners
· Personal v General Advice – training for AFS licensees
· Authorised Representative Training
· Contracts and Competition Consumer Law
· Directors and Officers Duties
… and many more! Reach out to enquire how we can tailor a training course to suit your business.
| RM training
||Our cornerstone course.
We offer both introductory and advanced courses for both AFSLs and ACLs.
Our courses cover:
· an overview of an AFSL’s Responsible Manager’s role;
· a concise 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; and
· ASIC’s role and recent regulatory action.
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||This course explains what money laundering and terrorism financing is and the regulatory requirements. It includes a practical workshop to help you develop your risk-based AML/CTF program.
It will give you the knowledge and skills to identify the risks of regulated businesses being unwittingly involved in money laundering and/or terrorism financing and to prepare or update an AML/CTF program for the purposes of complying with obligations under the Anti-Money Laundering & Counter-Terrorism Finance Act (Cth).
This course aims to provide staff of an organisation with a relevant and practical course tailored to the organisation’s specific circumstances.
Speak to one of our AML/CTF team members to learn more about how we can tailor our AML/CTF training course to suit your businesses
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||Our monthly webinars series are hosted by our very own lawyers and consultants. We aim to present you with topical matters while also supporting FASEA requirements for financial services advisors.
Button: Click here to see our upcoming webinars.
||A one-stop shop for Responsible Managers. An online platform where you can get all your policies, read up on regulatory updates, and meet your training requirements.
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