6 Professional Development Hours
With ASIC’s current focus on the Insurance Industry, now more than ever, every financial services business needs a compliance system.
This session provides the opportunity to learn more about compliance systems and structures; participate in group discussion about issues you may be experiencing; and how to best protect your organisation from the risk of breaches or non-compliance with all-important legislation.
The facilitator will explain and discuss the requirements for an effective Compliance Management Program and answer your questions about compliance.
- Role and responsibilities of the Compliance Manager
- Creating and promoting a culture of compliance
- Designing and implementing a compliance management system
- Maintaining and evaluating the compliance management system
- Monitoring and measuring the effectiveness of a compliance system
Responsible Managers, current or prospective Compliance Managers and other employees involved in managing compliance.
It is suggested that participants have a firm understanding of the organisation’s core activities.
The workshop will discuss the AFS Licence of the attendee’s business. Please bring a copy to the session.