AFSL Responsible Manager Training Masterclass

AFSL Responsible Manager Forum

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.

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Course overview

STUDY MODE

100% online via Zoom

NUMBER OF SUBJECTS

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NEXT INTAKE

19 Mar 2026

COURSE FEE

$340.00

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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.

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.

Presenter

Dr Jenny Diggle
Grad Dip Corp Fin, Grad Dip Inv and Adv., M.App Fin, PhD.

Jenny is a Senior Academic for Financial Advice for Kaplan Professional. Jenny is an experienced independent Certified Financial Planner who operated her own Australian Financial Services licence for 10 years. She has worked in financial services in compliance, academia and risk management. Jenny is an appointed panel member for the Australian Financial Complaints Authority and a current member of ASIC’s Financial Services and Credit Panel as an expert representative for financial planners.

Agenda

1. INTRODUCTION

A recap of RM Responsibilities for all licensee types.
Who is responsible?

2. LEGAL AND REGULATORY UPDATE

General versus Personal advice – still an issue
What does ‘Payday super changes’ mean for practice cashflows?
Operation of the Capital Gains Tax Discount – any news?
ASIC Report 824 – can you still sleep at night and give SMSF advice?
CPD targets and achievements – you are responsible
ASIC Reportable Situations Dashboard – analysis and implications

3. REGULATOR ACTIVITY

3.1 ATO

Transfer balance cap updates
Advice fees paid by superannuation funds

3.2 ASIC

Update on some things ASIC

RG 181 update
RG 282 Exchange traded product issuers and your APL
CFDs – product intervention orders and your APL
Private Credit as an asset class
Offshore outsourcing – RM skills
RG 168 – PDS and other obligations

3.3 AUSTRAC

Tranche 2 changes impacting financial advice
When to submit an SMR

3.4 APRA

Primarily focused on preventing harm before it occurs
Superannuation in the spotlight – at last
Quarterly Superannuation Industry Publication – member data insights

3.5 AFCA

Elder abuse
Joint accounts and family violence

3.6 Office of the Australian Information Commissioner (OAIC)

Compliance sweep 2026
What is a notifiable data breach?

4. FORWARD FOCUS

Treasury – Compensation Scheme of Last Resort post-implementation review
Treasury – Securing Australians’ Superannuation package
ASIC – super, high risk investing, insurance claims handling …

Dates

19^th March 2026 1:00pm-3.30pm AEDT

Fees

$340 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.