GRC Solutions is running a professional development course on Responsible Managers of Australian Financial Services Licensees.
The session will focus on the general obligations of Responsible Managers, the current and emerging priorities for ASIC in monitoring licensees compliance and, practical tips for maintaining an efficient and effective relationship with ASIC.
This workshop is specifically designed to assist Responsible Managers in understanding and fulfilling their license obligations and meeting CPD requirements.
This workshop also caters to existing, new and prospective Responsible Managers, Compliance Officers, and other Senior Managers operating within the Australian financial services environment.
Key topics include:
- ASIC’s role and the obligations of Responsible Managers
- Current and emerging issues for Australian Financial Services Licensees
- Ethics, behavioural standards and expectations of finance professionals
- Risk management in the finance sector
- ASIC actions and the implications and consequences for Responsible Managers
- Outcomes and impacts of the Royal Commission
- FASEA implications for compliance learning programs and CPD policy development
Please email Bill Tarrant firstname.lastname@example.org to be invoiced or receive a discount code.
About your facilitator:
Liam O’Brien, Senior Consultant
Liam is a highly regarded risk and compliance expert and workshop presenter. He helps organisations develop a successful risk and compliance program by converting a strategy into an operational program of work. Liam holds a Master of Applied Finance and is currently a Responsible Manager of an AFSL, company director and subject matter expert.