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“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.
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
Update on some things ASIC
3.5 PRIVACY COMMISSIONER
4. FORWARD FOCUS
$295 (Inc. GST) per participant
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
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.
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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