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

Regulatory Update

• Reform agenda – in progress, proposed and under consultation for AFSL
• Mortgage broking, credit products and remuneration arrangements update
• Significant global changes on foot

Advisor Activity

• FASEA update – education standards and code of practice 
• ASIC Focus areas
• Trending issues

Product and Markets Activity

• Cases on foot
• ASIC focus areas
• Trending issues

Industry Issues

• FSRC Final Report – findings and what it means to licensees
• ASIC Enforcement Outcomes – latest report
• Changes to ASIC – what to expect

Fees

$400 + GST per participant

Date and Duration

Melbourne 22 March 2019

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

Brisbane 25 March 2019

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

Sydney 29 March 2019

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

Perth 8 April 2019

Time: 11:30am – 2:00pm (2.5 hours)
Location: CBD Location, to be confirmed

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.

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.