Regulation of Australian Financial Services is designed for those who are planning to take on the role of a responsible manager for an Australian Financial Services (AFSL) licensee and/or needs a refresher of Australian regulations. Comply with ASICs regulatory guide 105 Licensing: Organisational competence.
If your nominated Responsible Manager has been working outside Australia in recent years, ASIC may seek specific demonstration of knowledge of the regulation of Australian financial services.
- Discuss the approach to financial services licensing in Australia
- Summarise regulations governing the financial services industry
- Outline what the role of a responsible manager is
- Explain the ongoing obligations of a responsible manager
- Analyse the extent to which a responsible manager can be held accountable for the actions of a licensee
- Devise and implement approaches and techniques that responsible managers can adopt to more effectively fulfil their role.
This online course is practical, and contains scenarios, checklists and exercises.
What Certification do you achieve?
On successful completion, candidates will be awarded a Certificate of Attainment confirming they have successfully demonstrated knowledge of Regulation of Australian Financial Services.
We also provide a supplementary course outline which details the content covered in the topics. This can be form part of the supporting material supplied to ASIC with:
- a new AFS licence application;
- an application to vary an existing licence.
Read our CEO’s insights: Responsible managers – a first line of defence worth investing in
Posted by Kate Whiteley on Jan 25, 2019 11:34:35 AM
What makes an RM, an RM? Hint…it’s not just the title. Far from the sometime treatment as a ‘tacked-on’ role, responsible managers as a first line of defence are worth investing in.