AFSL Responsible Manager Forum

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.

Date

Thursday, 15th May 2025 1:00pm – 3:30pm AEST

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

Agenda

• Recap: Understanding your AFS Licence obligations & your role as Responsible Manager
• On the radar: Recent & upcoming regulatory changes and how they might impact you
• Adopting a risk and outcomes-based approach to resourcing your AFS compliance and risk management programs
• Consequences of under-resourcing AFS compliance and risk management functions
• Lessons from AFCA

About the presenters

Beth Smith, Senior Consultant – Tangelo Advice Consulting

Beth is one of those rare things – someone with a strong knowledge of compliance – but with the ability to both communicate it, and facilitate it, in a way that is practical and relatable.

Beth has over 25 years’ experience in the in the financial services industry, predominantly in the field of AFSL corporate governance and compliance.

In both her senior management governance and compliance positions at both IOOF and BT Financial Group, as well as her role as a senior compliance consultant, Beth’s specialisation has been on taking to market and delivering AFSL compliance and governance services. This experience has seen Beth delivering compliance solutions to a range of AFS licence business types and sizes across Australia, picking up a wealth of knowledge on how best to integrate compliance and regulatory change.

Recently, her passion for communicating compliance has also seen her contribute to Kaplan online CPD – writing a number of compliance articles with a particular focus on current regulatory changes happening across the industry.

Conrad Travers, Director & Principal Consultant – Tangelo Advice Consulting

Conrad has over 20 years’ experience in financial advice, working with advice businesses of all sizes in designing and delivering complex transformational change in risk, compliance, operations and project management.

Conrad likes nothing more than to be given a problem to solve – it’s why he started Tangelo in the first place. With all the pressures on financial services businesses, he often finds clients don’t have the time or headspace to step back and accurately diagnose what is going wrong – let alone develop a strategy to fix the problem.

Sen Kugathasan, Ombudsman Investments and Advice

Senthur joined AFCA in March 2019 as a Case Manager in AFCA’s systemic issues area specialising in superannuation and investments and advice. Prior to joining AFCA, he was a financial adviser with some of the industry superannuation funds and one of the larger wealth management brands.

Senthur was appointed as an Adjudicator in April 2020 within the superannuation team and in 2024 was appointed as an Ombudsman in the Investments and Advice team. Senthur has a Bachelor of Business (Financial Planning) from the Royal Melbourne Institute of Technology.