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Training and Guidance

Responsible Manager Training

We have trained Responsible Managers of Australian Financial Services Licensees (AFSLs) and Australian Credit Licensees (ACLs) for over a decade.  We
provide training that caters for those who are new to the Responsible Manager role, as well as Responsible Managers who are experienced and have been in the role for many years.

Our Responsible Manager Training workshop has been designed to provide Responsible Managers and compliance staff with an overview of the role of the Responsible Manager.  Some of the topics covered in this course are:

Duties and responsibilities of a Responsible Manager
Duties and responsibilities of a Responsible Manager
Understanding the AFSL authorisations
Understanding the AFSL authorisations
Breach identification, assessment and reporting
Breach identification, assessment and reporting
Handling AFCA complaints
Handling AFCA complaints
ASIC’s role and recent regulatory action
ASIC’s role and recent regulatory action

Compliance Support for Responsible Managers

We support Responsible Managers of AFSLs and ACLs through our ongoing compliance support and offer consulting services and we can help you:

Determine whether or not your nominated Responsible Manager would be
suitable for your licence application
Determine whether or not your nominated Responsible Manager would be suitable for your licence application
Assist with varying your licence application to add a Responsible Manager or
remove the Key Person Condition
Assist with varying your licence application to add a Responsible Manager or remove the Key Person Condition
Assist with preparing proofs as outlined in ASIC RG 105 for the AFSL
application
Assist with preparing proofs as outlined in ASIC RG 105 for the AFSL application

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