Course overview

“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.

About the presenter

Dr. Jenny Diggle _CFP®
Dip FS (Financial Planning), Grad. Dip. Corp Fin, M.App Fin, PhD

Jenny is an experienced independent Certified Financial Planner who operates her own Australian Financial Services licence providing goals based advice to clients. She is the Responsible Manager for her AFSL. She provides compliance consulting for financial planning (via J Diggle and Associates); and education for financial planning. Jenny is an appointed panel member for the Australian Financial Complaints Authority and ASIC’s Financial Services and Credit Panel as an expert representative for financial planners. In 2019, Jenny was appointed as the Advisory Academic – Practitioner Expert (Financial Planning and Finance) for Kaplan Professional.

Topics

1. INTRODUCTION

A recap of RM Responsibilities for all licensee types.

2. LEGAL AND REGULATORY UPDATE

2.1 Avoiding misleading of deceptive conduct

2.2 Update on Financial Sector Reform

2.3 Superannuation Trustees Climate Change Risk

2.4 Falsely applied electronic signatures

2.5 Reportable Situations

2.6 Misleading insurance quotes

2.7 Better Advice Bill – Exposure Draft Regulations

2.8 Third party defamation – Comments on a business’s Facebook page

3. REGULATOR ACTIVITY

3.1 ATO

• Preparing for your director ID
• YourSuper comparison tool

3.2 ASIC

Update on some things ASIC

• • Anti-hawking guidance (RG 38)
  • ASIC Report 700 – Licensing and professional registration activities: 2021 update
  • RG 78 – Breach Reporting
  • RG 126 – PI Limits
  • INFO 257 ASIC reference checking and information sharing protocol 
  • Enforcement results – summary of impacts on financial services
  • Investigations – summary of impacts on Responsible Managers

3.3 AUSTRAC

• Banking Sector Risk Assessments
• Changes to Customer identification procedures

3.4 APRA

• Revised prudential standard on investment governance in superannuation

3.5 PRIVACY COMMISSIONER

• Notifiable Data Breaches Scheme report 1 January to 30 June 2021

4. FORWARD FOCUS

• Hayne Royal Commission recommendations – are we there yet?

Fees

$295 (Inc. GST) per participant

Date and Duration

Webinar 

This forum is an online interactive webinar held via Zoom.

17 November 2021 | 10:30 AM – 1:30 PM (AEDT) | 5 min break each hour

Enrolment information

Enrolment

Individuals are required to be aged 18 years or older to enrol in this webinar. 

To enrol in this course, click here to download the enrolment form.

Delivery

This forum is an online interactive webinar held via Zoom.

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

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