Responsible Manager Fundamentals

Our Responsible Managers Fundamentals Course 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.

Discover the knowledge and skills necessary to be an effective first line of defence for your organisation and positive driver of culture and conduct.

Program Content

  • Being a Responsible Manager in practice
  • Financial services regulation in Australia

Learning Outcomes

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.

Units of Competency

Pre-requisite

Recognition of Prior Learning

Certification

On successful completion, participants will be awarded a Certificate of Attainment confirming they have successfully demonstrated knowledge of Responsible Manager Fundamentals.

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Frequently Asked Questions

What others say about us

Parallels real workplace experience.

We have been using FEP for a number of years now. The course materials are highly professional and parallels real workplace experience. Staff greatly value participating in meaningful external training and are the greatest advocates.

Efficient, informative and accessible.

The content is well set out, clear and precise. My organisation does the course every year and we are continuing to learn new and interesting things with each new offering. The content is up to date with the industry and completely relevant to my role. I had all the support and learning resources available to get it done…

Extremely relevant and meaningful.

Our firm exclusively uses the services of Financial Education Professionals for all of our ongoing RG146, compliance and responsible manager training for our team. We find course materials extremely relevant and meaningful and this allows our team to have up to date, practical knowledge.

Peter McGuire, CEO, XM