Compliance From Scratch - A Back to Basics Guide for Responsible Managers

Workshop overview

So you have just been appointed as responsible manager, or you require a refresher?

What do you need to know?

Realistically, what can you do now?

What are your roles and responsibilities?

What does ASIC expect?

Agenda

This practical training workshop will provide responsible managers with the necessary knowledge and skills to perform their role.

At our workshop we will explore:

• An introduction to responsible managers’ compliance responsibilities – what you need to know
• Liability of responsible managers
• ASIC surveillance – what to expect
• Where to get resources and reassurance.

Active learning

The workshop includes real life case studies and a hands-on problem- solving session to help you absorb the information presented. We also encourage open discussion and interaction throughout the workshop.

Learning outcomes

• A game plan for your next six months
• A draft checklist and personal plan for your new role
• Practical understanding of compliance systems implementation and evaluation
• A “fix-up” tool kit
• A list of tricks and traps.

Compliance hotline

This workshop offers a no-cost follow-up specialist compliance service for short consultations.

Who should attend?

Responsible managers (nominated, new or old) of Australian financial services licensees or ancillary risk and compliance personnel.

Customised training

As with all of our programs, we can customise this workshop to address your organisation’s specific requirements.

Recent participant feedback

“Excellent – the presenter engaged the audience and focused on the practical application of skills. Shared experience.”

• Register for Compliance From Scratch - A Back to Basics Guide for Responsible Managers
• Subscribe to our mailing list