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Course overview


STUDY MODE

100% online via Zoom

NUMBER OF SUBJECTS

N/A

NEXT INTAKE

14 Mar 2024

COURSE FEE

$300.00

AVAILABLE LOANS

N/A

AQF LEVEL

N/A

COURSE DURATION

2.5 hours

ACCREDITATION

PROVIDER ID

N/A


Are you up to date with all the compliance changes and requirements that may impact your Australian Financial Services Licence (AFSL?)

The ever-changing financial services landscape has meant AFSL holders are constantly under the microscope, so it has never been more essential to stay on top of what is happening in the industry and understand the impact of regulatory developments.

The Responsible Manager Forum is designed for existing, new and prospective Responsible Manager audiences, compliance officers, and other senior managers and directors operating within the Australian financial services environment.

Each high-level forum provides participants with a legal, regulatory and advocacy update, and addresses other current topical issues.

A certificate of attendance outlining CPD hours will be awarded at the conclusion of this workshop.

This workshop is not recorded.

Date

Thursday, 14th March 2024 1:00pm – 3:30pm AEDT

This webinar will be delivered via Zoom and will not be recorded.

Agenda

  • RM duties
  • Industry update
  • ASIC
  • ATO
  • Treasury
  • AUSTRAC
  • Guest presenter: Gayle Cilfone, Director RMGC Consulting
  • AI, Virtual SOA’s and ChatGPT: how does it impact our industry
  • Common findings within AFSL audits

 

About the presenters

Nina Forbes

Nina Forbes is a skilled, experienced financial services professional who has worked in the industry for over 30 years. Throughout her career, she has held senior executive positions with financial services corporates, as well as operated small businesses. Her areas of expertise include: compliance, financial planning, training, operational excellence, practice development and strategic management.

Nina is a responsible manager and holds qualifications in: Master of Financial Planning, Diploma of Financial Planning, Diploma of Business, Certificate IV in Training and Assessment, Commercial Law and is an accredited aged care specialist.

Gayle Clifone

Gayle Cilfone is the founder of RMGC Consulting with over 30 years’ experience in the financial services industry having begun her career initially as a financial adviser. Through her extensive 17-year career in senior compliance roles she gained a strong knowledge and understanding of financial planning and operational compliance practices within AFSL businesses.  In 2016 Gayle established RMGC Consulting. RMGC clients encompass a diverse spectrum, ranging from large, mid-Tier and small AFSLs, ACL’s, mortgage and insurance brokers, and other entities providing financial advice to wholesale and/or retail clients.

Being one of the inaugural members of the Financial Services and Credit Panel (FSCP), she acquired hands-on experience in understanding the operations and decision-making processes of the FSCP. Currently Gayle is the chair of several AFSL risk and compliance committees, underscoring her commitment to overseeing and managing risk within the Australian financial services landscape.

Gayle is a CERTIFIED FINANCIAL PLANNER® professional, has a Certificate IV in Compliance and Risk Management and is a Fellow of the Institute of Public Accountants.

Policies

Student policies

Individuals who enrol in a Kaplan Professional course are bound by our published policies, including the policy that sets out our rules for assessment. Individuals can review these policies here. The policies also assist individuals when their study program does not go as planned and they need extra support.

Terms and conditions

Click here to access our terms and conditions.

Refund policy

Access our refund policy.

Fees

$300 (Inc. GST) per participant.

Support and wellbeing

We understand studying isn’t always easy; you may not have studied for some time or perhaps you haven’t studied online previously. Kaplan Professional recognises juggling study with work and family commitments, while trying to find the balance can be demanding.

Your wellbeing and safety is paramount to Kaplan Professional. We want to ensure your experience is well-rounded and balanced to help you attain the most from your studies, so we encourage you to take advantage of the services available to you.

Support and wellbeing

We understand studying isn’t always easy; you may not have studied for some time or perhaps you haven’t studied online previously. Kaplan Professional recognises juggling study with work and family commitments, while trying to find the balance can be demanding.

Your wellbeing and safety is paramount to Kaplan Professional. We want to ensure your experience is well-rounded and balanced to help you attain the most from your studies, so we encourage you to take advantage of the services available to you.

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Graduate Diploma of Financial Planning

An eight-subject postgraduate qualification set at AQF Level 8 and FAS approved. Includes the first eight subjects of the FAS-approved Master of Financial Planning.

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