Responsible Manager Fundamentals is designed for newly appointed or aspiring responsible managers working in an organisation who holds an Australian Financial Services (AFS) licence.
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 line of governance and accountability for your organisation, and a positive driver of culture and conduct.
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.