Do you need to meet organisational competency requirements for your Australian Financial Services Licence (RG 105) or APRA’s Fit and Proper prudential standard?
Our 2020 program will equip and empower the key people in your business to bring to life the frameworks and activities your organisation needs to effectively manage its non-financial risk.
- The rise of the responsible manager – a refresher on licensee requirements and a reminder of what responsible managers and accountable persons need to do on an ongoing basis, particularly in light of BEAR and the Financial Services Royal Commission
- Breaching bad – how meeting your breach management obligations helps you create a compliance culture you can be proud of and successful with
- New whistleblowing rules: Making the right calls – what you need to do now that new rules and whistleblower policy requirements are in place
- What’s the go with DDO? – how newly legislated design and distribution obligations will dramatically change how financial products and services are created, distributed and marketed
- Recent ASIC cases: Lessons for licensees – themes and outcomes arising from ASIC’s recent reports and enforcement activities.
Our CPD is mapped to ASIC RG105, FASEA and APRA CPS 520-fit and proper categories. Earn 15 CPD hours/points.
You may be interested in our recent insights
The Royal Commission struck back, dodgy practices were exposed and now an era of new hope has begun.
An age in which strong compliance and practical risk management will secure victory for licensees. And with it will rise a new leader – the responsible manager.