Responsible Managers Fundamentals explores the role of the responsible manager and the industry regulations licensees must comply with.
It is also ideal for organisations wanting to ensure their existing responsible managers have an appropriate standard of knowledge and skills about AFS licensing and the important, ongoing role they play in ensuring organisational competence.
Responsible managers are critical to a company demonstrating and maintaining its compliance and competence. Discover the knowledge and skills necessary to be an effective first line of defence for your organisation and positive driver of culture and conduct.
- Being a Responsible Manager in practice
- Financial services regulation in Australia
What you will learn
- How the financial services industry is regulated in Australia
- Conduct and disclosure obligations firms and their representatives must meet under financial services law and regulatory guidance
- Other laws and standards that govern financial services activities, including consumer law, AML and Privacy
- General obligations of Australian Financial Services Licensees
- Attributes and responsibilities of a responsible manager
- The role responsible managers play in ensuring the financial services organisation they work for operates compliantly.
Who is this course for?
- Designed for newly appointed or aspiring responsible managers working in an organisation who holds an Australian Financial Services (AFS) licence.
- Participants wanting to understand the role of responsible manager within the context of AFS.
Recognition of Prior Learning
On successful completion, participants will be awarded a Certificate of Attainment confirming they have successfully demonstrated knowledge of Responsible Manager Fundamentals.