Responsible Manager Masterclass

ACL Responsible Manager Forum

The Responsible Manager Forum is designed for existing, new and prospective Responsible Manager audiences, Credit Managers, and other senior managers and directors operating within the Australian Credit Licence environment.

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Please complete this form to enrol into the next Responsible Manager Forum session. A member of the continuing education team will be in touch to take payment and complete the enrolment within 3 business days of submitting this form. *Denotes Mandatory fields

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Company invoicing is only available to organisations with an approved Kaplan Professional account. Invoices can only be issued and sent to authorised representatives. If you're not authorised, we will seek approval from your organisation before completing the enrolment. To enrol multiple attendees, you’ll upload their details in the next step.

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Confirm invoice details:

Will the invoice be settled by an organisation holding an approved Kaplan Professional account, or by the individual enrolling for the masterclass?

Company invoicing is only available to organisations with an approved Kaplan Professional account. Invoices can only be issued and sent to authorised representatives. If you're not authorised, we will seek approval from your organisation before completing the enrolment. To enrol multiple attendees, you’ll upload their details in the next step.

Individual invoicing will be issued and sent directly to the attendee being enrolled.

Please select the option that best describes your situation:

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Course overview

Are you up to date with compliance changes and requirements that may impact your Australian Credit Licence (ACL)?

The ever-changing Credit landscape has meant ACL 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.

This forum provides participants with a legal, regulatory and advocacy update, and addresses other current topical issues.

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

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

Presenter

Matthew Farley

Matthew Farley is a Compliance Consultant who collaborates with Australian Financial Services and Australian Credit Licensees, providing ongoing support and coaching on legislative and regulatory requirements. With nearly a decade of experience in financial planning, Matthew transitioned to an AFSL compliance role in 2010, quickly developing expertise in risk management frameworks and coaching. He has extensive knowledge of AFSL and ACL compliance and has served as a Responsible Manager on various licenses.

Matthew holds a Master of Financial Planning from Kaplan and a Certificate IV in Finance and Mortgage Broking.

Agenda

Responsible Managers: Role, Purpose & Regulatory Expectations

Key Topics

Definition of a Responsible Manager
Organisational competence requirements
Roles and responsibilities
Importance of Responsible Managers

Fit & Proper Person and Core ACL Obligations

Key Topics

Fit and Proper Person requirements
Ongoing monitoring obligations
Broad compliance obligations
People, systems and resource obligations

RM Responsibilities, Liability & ASIC Expectations

Key Topics

RM obligations
Liability considerations
Training and competence requirements
Monitoring and supervision expectations

Qualifications, Competence & Appointing Responsible Managers

Key Topics

Experience requirements
Qualifications and training
Best-practice appointment process
Questions to ask when selecting an RM
Ongoing monitoring and CPD expectations

Managing Conflicts of Interest & Responsible Lending

Key Topics

Conflict identification and management
Governance oversight
Responsible lending obligations
Best Interests Duty (RG273)

Complaints & Breach Management

Key Topics

What constitutes a complaint
Complaint timeframes
Breach reporting obligations
Assessing significant breaches
Recent reporting relief measures

Regulatory Updates & ASIC Enforcement Focus

Key Topics

Breach reporting trends
AML/CTF developments
Hardship obligations
Recent ASIC enforcement actions
ACL compliance risk areas

Date

11th November 2026 1pm – 3pm AEDT

Fees

$280 per person

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

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Refund policy

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