This course provides an overview of the obligations required of:

• AFSL Responsible Managers;
• Compliance Managers who need to understand the role of Responsible Managers; and
• People nominated as Responsible Managers (but who are required by ASIC to undertake training like this before ASIC will allow them to be Responsible Managers).

• an overview of a Responsible Manager's obligations;
• a concise summary of the fundamental features of the financial services reform regime;
• consideration of RM-relevant licensee obligations;
• your organisation's AFS licence authorisations (if applicable);
• whether personal liability attaches to your role as an RM; and
• breach identification, assessment and reporting.

• a tailored course for a licensee's Responsible Managers; 
• a public seminar (see below); and
• an online seminar (see below).

Learning Outcomes

• meet "ongoing training" requirements as set out in ASIC RG105;
• explain their obligations as Responsible Managers (formerly Responsible Officers);
• explain key regulatory obligations in relation to the provision of financial services;
• explain the business' authorisations under its AFS Licence;
• consider and explain potential personal liability arising from acting as a nominated Responsible Manager (formerly Responsible Offices); and
• identify and explain developments and trends that have, and are, taking place in the financial services industry which might impact on Responsible Managers (formerly Responsible Officers).

So, come join our training either in the traditional face-to-face setting or participate in an online seminar that's interactive and practical.  You will learn through a mix of theory and practice.  Training includes presentation, interaction, polls, the provision of a manual and simulated tasks.

What have people said about our RO / RM training courses?

• "Very informative.  Presenter made a dry topic quite entertaining." Randall Maas (NAB)
• "I particularly liked the concise nature of the topic and its delivery." David Bannerman (Richard Oliver Underwriting P/L)
• "Compliance made enjoyable." Oliver Imre (IG Markets)
• "Use of real life examples. Fast paced. Use of two presenters much better than one. Good interplay." Alex Reid (ANZ)
• "I liked the inclusion of all participants, diversity of participants, breadth of topics covered." Jillian Haggerty (Challenger Financial Services Group)
• "Flushed out the real issues - provided insight in how to conduct oneself as a RM." Mark Lewin (Avenue Capital Management)
• "Insight into role of a Responsible Manager." Andrew Merry (London Capital Group)
• "Deep knowledge and teamed presentation." Nigel Greenaway (Eureka Funds Management)
• "Small group enabled questions to be asked that were relevant to us." Olympio Andronicos (Hume Building Society)
• "Interaction and relevant case examples." Kate Butterworth (Compliance Matters Pty Ltd)
• "Real life examples and insights into (the) workings of ASIC." Craig Watson (Wealth Within Limited
• "It was informative, not boring, and interactive." Bob Kelly (Eureka funds Management)
• "It brought me back to the basic requirements of AFSL Compliance." Elliot Opolion (ADP Employer Services)
• "The content was presented at a good level and pace." Gary Newman (ANZ)

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