RG 105 Regulatory Workshops for Responsible Managers
Regulatory Guide 105: Licensing: Organisational Competencies
ASIC's RG 105.7 states that a licensee must ... "(b) maintain and update the knowledge and skills of your responsible managers;"Financial Education Professionals provides high level interactive workshops on an in-house basis to Responsible Managers (and other senior staff) of your organisation on their regulatory responsibilities under RG 105.
An annual program of Regulatory Workshops for Responsible Managers comprises four quarterly 3-hour workshops held on your premises at a time that suits your Responsible Managers.
This specialist annual program is suitable for your senior executives who may have limited daily exposure to the Australian licensing regulatory system.
Approach:
To draw out key regulatory Issues appropriate to the participants’ roles in your particular business & to consider how these are being addressedWorkshop Topics
Current workshop topics include:- Your responsibilities under your Financial Services licence
- Anti Money Laundering
- Managing Conflict of Interest
CPE Credits
Each topic is worth 3 hours of Responsible Manager Continuing Education. By successfully completing assessments for all topics each person will be credited with 3 hours of CPE. This also equates to 3 CPE points. (CPE is also called Continuing Professional Development, Continuing Education or Continuing Training.)Cost
Contact Joan Street to learn how we can provide these quarterly high level briefings on an in-house basis for your staff.