Responsible Manager Induction: Role and Obligations

The legislative and regulatory environment in which AFS licensees and APRA regulated institutions operate is complex and constantly changing. The obligations imposed upon licensees by financial services regulation must be clearly understood and carefully managed in order to not put a business at risk. Understanding these obligations is crucial for anyone holding a senior position within an AFS licensee or APRA regulated institution.

This short course is designed to provide a valuable overview of the Corporations Act, other key legislation and important elements of financial services regulation affecting organisations in the business of offering financial products and services.

Who should attend?

This course is ideal for responsible managers and executives, especially those who are new to the roles, senior staff who may become responsible managers in the future, and company directors and CEOs looking to ensure they meet their obligations to shareholders and regulators from a governance perspective.

What will I learn?

• You will gain an understanding of the operation of the Corporations Act in financial services, the obligations imposed by the licensing regime and the new legislation and regulations that impact on business
• You will also be able to recognise the pivotal role and responsibilities of key compliance staff and identify and implement systems and procedures to meet new requirements, and be prepared for ASIC audits and surveillance visits.

What topics will be covered?

• key legislation and the role of the regulators
• the AFS licensing and disclosure regime
• the role and obligations of key players in the organisation
• adviser–client relationships and dispute resolution
• breach reporting
• managing conflicts of interest
• anti-money laundering
• other law regulation.

How to register

In-house workshops:

Our workshops can be customised and delivered at your premises giving you access to the training you need, when you need it. For more information or to discuss your training needs, please call 1300 728 505 or via email corporatesolutions@kaplan.edu.au.

Public courses held at Kaplan Professional:

How to register? Please check our Calendar of Short Courses to see if the course you wish to attend is scheduled in your region. If it is scheduled in your region, click the relevant course name and follow the prompts.

Expressions of Interest: We can schedule workshops for small groups at mutually suitable times at Kaplan Professional. If you are interested in attending a workshop, please complete an Expression of Interest form to enable us assess the level of interest for that course. We will then place your name on our waiting list for that particular course and will contact you as soon as we have received sufficient interest to run the course. (A minimum of 8 participants is required to run a course.) Scheduled courses may then be open to the public.

For more information, please call 1300 527 526 or email pdmail@kaplan.edu.au.

* The PD points quoted here are intended to be used as a guide only. Your Compliance Manager or Professional Body may assess this program according to their own guidelines. To receive PD points please take this course outline to your Compliance Manager or Professional Body for accreditation.

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