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.

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

SESSION 1 (1 hour)

• Where you should be today as the RM of an AFSL (Funds Management/Credit/Advice)
• Are you involved in determining how the financial services are provided and able to adequately supervise the provision of the services (including unit pricing)?
• Market integrity rules and responsible managers – why the carve out?
• Insider Trading – the Foster’s Defence
• Why you should be directly involved in change and implementation of changes

SESSION 2 (1 hour)

• ASIC Regulatory Guide 105  – AFS Licensing: organisational competence. Issued April 2020. The new guide replaced:
  • Section E of Regulatory Guide 164 Licensing: Organisational capacities (RG 164)
  • Parts of Regulatory Guide 130 Management investments: Licensing
  • Responsible officers: Demonstrating compliance with organisational competency obligations
• Do you have the organisational competence to be an RM?
• A whole regulatory guide on Responsible Managers – what is this signalling to licensees?

SESSION 3 (1 hour)

• ASIC Corporate Plan to 2023 and implications for RMs
• ASIC Infringement notices focussed on “lax administrative conduct” – Fund Manager examples

Fees

$295 (Inc. GST) per participant

Date and Duration

Next webinar: 

Friday, 27 November 2020 

11:30 AM – 2:30 PM AEDT (3 hours with a 5min break each hour)

To express interest in any future webinars, please email corporatesolutions@kaplan.edu.au

Enrolment information

Enrolment

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

Enrol now >

Delivery

Due to the COVID-19 pandemic, we’ve made the decision to adapt the way we offer the RM Forum. Instead of hosting face-to-face sessions, we’ll be running an interactive format 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.

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