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This course is designed to raise the awareness of Responsible Managers about the potential liabilities inherent in that role, and help to plan the management of compliance and mitigation of risk – to themselves and their businesses. Suitable for Responsible Managers, Compliance Managers and those in line for Responsible Manager roles.

Key Topics

  • The Role and Responsibilities of Responsible Managers. What it means to be a Responsible Manager, the qualifications and experience required, responsibilities and overall liabilities involved.
  • Regulation in the Financial Services Industry. The role of ASIC, APRA, ACCC and industry bodies and a discussion of some of the most recent FSR refinements.
  • Obligations on AFS Licensees. An in-depth view of the day-to-day responsibilities of a Responsible Manager and how to ensure compliance in matters such as the products and services provided and the way they are delivered; staff and resources employed; and management issues such as financial adequacy. Includes reference to a compliance action plan to assist with the planning and implementation of the compliance program.


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