Compliance from Scratch - A Back to Basics Guide for Responsible Managers - Register your interest

Date:
31 Dec 2012
Time:
9.00am - 4.45pm
Location:
Level 15, 1 Bligh Street, Sydney
Contact:
Monica Taylor, 1800 882 110, Contact Client Training
Cost:

$1,143 (includes $103.91 GST) per person
$1,029 (includes $93.55 GST) per person if payment is received two weeks prior to the workshop
$972 (includes $88.36 GST) per person if in a group of three or more


Dates are scheduled on a needs basis. To register your interest please email client.training@claytonutz.com or follow the registration prompt above.

If you have a number of staff who would benefit from this training, you may like to consider a customised workshop to address your organisation's specific requirements. For further information please call us on 1800 882 110.

Overview

So you have just been appointed as a responsible manager...

Are you prepared?

What do you need to know?

What are your roles and responsibilities?

What does ASIC expect?

Are there any practical tools to assist?

OR

You are an existing responsible manager...

What has changed?

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.

Recent participant feedback

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