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.

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.

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

About the Presenter:

Matthew Farley

Matthew Farley is a Compliance Consultant who partners with Australian Financial Services and Australian Credit Licensees to provide ongoing support and coaching on their Legislative and Regulatory requirements when running an AFSL or ACL.  After spending nearly a decade working in financial planning, in 2010, Matthew transitioned into an AFSL compliance role and quickly developed an aptitude for risk management frameworks and risk management coaching.  Matthew has managed the development and redevelopment of risk frameworks and has built a strong working knowledge of the compliance of AFSLs and ACLs.  As someone who has sat in front of clients, Matthew knows that compliance needs to be both practical and commercial whilst still meeting the myriad of Legislative and Regulatory requirements.

In addition to his compliance consulting, Matthew has previous been a Responsible Manager on various ACLs and AFSLs.

Matthew holds numerous educational qualifications including a Master of Financial Planning from Kaplan and a Certificate Four in Finance and Mortgage Broking.

Topics

• Reminder about what is an RM
• What are your obligations?
• What is involved in the role?
• Personal liability – including examples
• Identifying RMs within a business
• Organisational competence and training
• Compliance plans
• Compliance measures
• Measures for monitoring and supervising reps
• Breach management
• Complaints management
• Legislative update
  • Changes to credit reporting
  • Design and Distribution obligations
  • Director Identification Numbers
• Actions taken by the Regulator

Fees

$300 (Inc. GST) per participant

Date and Duration

This webinar will be delivered via Zoom and will not be recorded. Future dates to follow.

Policies

Student policies

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