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

1. Legal and Regulatory Update – the reform Agenda
   1. Austrac changes
   2. Exposure Draft Bills released January 2021
   3. Changes to breach reporting
   4. Changes to FDS and opt in
   5. Changes to Life insurance Code of Practice
2. Regulatory Refresh
   1. What’s left of RG146
   2. APRA reform Agenda
3. ASIC Activity
   1. Review of Life Insurance Framework
   2. Enforcement Outcomes – Financial Services
   3. Changes to FASEA
   4. Changes to RG 274 Product design and distribution obligations
4. Forward Focus
   1. Privacy policy updates
   2. Reference checking
   3. Anti Hawking

Fees

$295 (Inc. GST) per participant

Date and Duration

Webinar 

23 March 2021 | 10:30 AM – 1:30 PM (AEDT) with a 5 minute 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

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.

Terms and Conditions

Click here to access our terms and conditions.

Refund Policy

Access our refund policy