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.

Who should enrol?

This program is ideal for:

• Existing, new and prospective Responsible Managers
• Compliance officers 
• Senior managers and directors

Topics

1. Regulatory Update
2. Adviser Activity
   • FASEA Update
   • Fees, commissions 
   • ASIC focus areas
3. Product/Markets Activity
   • Changes to MIS, including MDA/SMA
   • ASIC Reports
   • Product intervention powers
4. AFSL Focus
   • Conflicts management
   • Adequacy of compliance arrangements
   • Complaints handling
5. Industry Issues
   • ASIC enforcement outcomes
   • FSRC update
   • Insurance arrangements (PI, D&O)

Presenters

Joanne MacDonald
MBA (Exec), SAFin, MAICD, MFTA, MRMIA

Joanne is an experienced governance, risk and compliance professional with a diversified background across both public and corporate sectors.

For over 15 years, she has been providing solutions for complex operational and regulatory change programs by designing and implementing strategically aligned risk management frameworks, compliance frameworks and providing quality GRC advice to business.

Joanne has extensive experience in advocacy, having worked with the ABA, FSC, PCA and ASX Corporate Governance Council; and engaging with RBA, ASIC, APRA, ATO, Treasury, CoFR, AUSTRAC, and Attorney General’s.

She is committed to enriching education standards and access to quality learning for GRC and actively pursues this through her involvement with Kaplan Professional and the Governance Institute of Australia (NSW Course Director), as well as presenting at a range of industry conferences.

Joanne holds a MBA (Executive), Diploma in Financial Markets, and is a member of the Finance and Treasury Association, Governance Institute of Australia, Australian Institute of Company Directors, and the Risk Management Institute of Australia.

Steve Murray

Following a career as a naval officer flying in helicopters and chasing submarines around the oceans, Steve commenced his second career as a financial adviser in 1983, and has been authorised to provide advice continuously until today.

Steve’s management experience is extensive, culminating in 10 years running AFS licensed advice businesses for two separate institutions. In both cases, Steve successfully rebuilt the advice businesses from the ground up – including business structure, service offering, compliance regime, and marketing. Steve’s ‘hands on’ approach in assisting advisers to build their business was integral to the success he achieved.

In 2007 Steve commenced Catalyst Compliance – a boutique compliance services business aimed at supporting small to medium sized AFS licensees and their advisers.

Steve also acts as responsible manager for a number of AFS & Credit licensees as well as providing expert witness opinions regarding the advice process for court matters.

Fees

$400 + GST per participant

Date and Duration

Melbourne 18 October 2018

Time: 9:00am – 11:30am (2.5 hours)
Location: Kaplan Professional – Level 6, 370 Docklands Drive, Docklands

Brisbane 22 October 2018

Time: 9:00am – 11:30am (2.5 hours)
Location: Kaplan Professional – Ground Level, 369 Ann Street, Brisbane

Sydney 26 October 2018

Time: 8:30am – 11:00am (2.5 hours)
Location: Portside Centre – Portside room, 207 Kent Street, Sydney

Entry requirements

While there are no formal entry requirements for this workshop, it is essential participants have experience in the regulatory environment and with running an AFSL or ACL as applicable.

Enrolment information

Enrolment
Click here to download a registration form >

Delivery
Face-to-face interactive workshop. 

Pathways

CPD hours

Kaplan Professional recommends the allocation of the following CPD hours on completion of this workshop:

AFSL 2.5 hours

CPD

If you’re a new Responsible Manager requiring induction training on your RG 105 obligations, or an existing one in need of a refresher or ongoing training, our CPD can assist you with your licensing duties. Specifically designed for Responsible Managers, this specialist knowledge library can be accessed in addition to regular CPD training and is delivered through Ontrack — our online CPD platform — which delivers monthly multimedia training, along with tracking and reporting capabilities.

To learn more, please visit the CPD page for more information or contact our CPD support team on 1300 527 526.

Assessments

There is no assessment as part of this workshop.

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

Access our refund policy

Brochure

Click here to download a brochure for this course.