Presenter: Marjana Cvetanoska – Founder & CEO

Content Summary:
To provide financial services professionals with a comprehensive understanding of the compliance obligations under an Australian Financial Services Licence (AFSL), ensuring adherence to ASIC requirements and fostering a culture of ethical and responsible conduct.

Learning Objectives:

• Understand the general obligations under Section 912A of the Corporations Act 2001, including acting efficiently, honestly, and fairly.
• Learn the specific financial, conduct, and disclosure obligations relevant to different AFSL categories.
• Explore the role and responsibilities of Responsible Managers, including maintaining organisational competence and ongoing training requirements.
• Gain insights into ASIC’s expectations for risk management systems, breach reporting, and dispute resolution (including AFCA).
• Review key regulatory guides (e.g., RG 104, RG 105, RG 166) and how they apply to day-to-day operations.
• Identify common compliance pitfalls and strategies to mitigate regulatory risk.

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