This course provides an overview of the obligations required of Responsible Managers (formerly Responsible Officers) and refreshes some of the fundamental features of the financial services regulatory (FSR) regime.
The course is available as:
- a tailored course for a licensee's Responsible Managers;
- a public seminar (see registration forms to the right); and
- an online seminar (download registration form).
Learning Outcomes
As a result of this course, participants will be able to:
- meet "ongoing training" requirements as set out in ASIC RG 105;
- 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 Offices).
What have people said about our RO / RM training courses?
- "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
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