Our AFSL CPD for Responsible Managers online course is directly relevant to the role of the responsible manager covering their primary responsibilities and emerging issues.
This year, we’ve gone into a little more detail and included some tips and activities, so you can reflect on what being a responsible manager is actually like!
The 5 topics covered in 2018 are:
- Being a Responsible Manager in practice
If you are undertaking this course you are likely to be a responsible manager or about to be appointed as a responsible manager. Whether it’s your dedicated role or a function on top of your existing role, it’s important for responsible managers to feel empowered and supported, and to have a similar effect on others.
- The impact of emerging technologies on AML/CTF
No longer is AML/CTF simply a matter of ensuring compliance at a key touchpoint. In fact, it’s arguably a customer engagement opportunity rather than a mere regulatory requirement. AML/CTF frameworks are traditionally process focused and inward facing. What if you could re-orient your perspective to an outward looking customer engagement one?
- Privacy and data protection
A broad range of privacy and data protection requirements are enforced by the Australian Government and individual states and territories. As a financial services professional you must be aware of these and understand the new mandatory data breach notification rule.
- Responsible Manager oversight of advertising (RG 234)
Responsible managers have plenty on their plates, so memorising all the dos and don’ts included in ASIC’s RG 234 is rarely going to be at the top of anyone’s to-do list. But the clear takeaway from the regulatory guide is that advertisements for financial products and advice services must give clear, accurate and balanced messages. Responsible managers can and should have a role in this process.
- Recent ASIC cases and focus areas in 2018
The cases covered in this topic will help keep responsible managers up-to-date on the types of misconduct by financial services licensees that ASIC typically investigates and prosecutes.
We also examine ASIC’s key strategic priorities for the next 12 months.
The course format allows you to complete one topic at a time, each topic being assessed by 5 multiple-choice questions. When you have successfully completed the course you can access your certificate and 15 CPD points will be recorded on your Record of Learning. The course completion date is 31 December 2018.
Please contact us for a detailed course outline.
Efficient, informative and accessible course. 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 quickly and early in the year.
Leeanne Lukaitis – UCA Funds Management Limited
ASIC Regulatory Guide 105 provides detailed information about the requirements of responsible managers. If you need a refresher on what your AFSL CPD requirements are visit ASIC: RG 105 Licensing: Organisational Competence.
We are also an ASIC authorised assessor for the purposes of RG 105 Responsible Manager Nomination.