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DTSTART;TZID=Australia/Sydney:20260511T120000
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CREATED:20260311T003444Z
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SUMMARY:AFSL Compliance Obligations
DESCRIPTION:Presenter: Marjana Cvetanoska – Founder & CEO \nContent Summary:\nTo 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. \nLearning Objectives: \n\nUnderstand the general obligations under Section 912A of the Corporations Act 2001\, including acting efficiently\, honestly\, and fairly.\nLearn the specific financial\, conduct\, and disclosure obligations relevant to different AFSL categories.\nExplore the role and responsibilities of Responsible Managers\, including maintaining organisational competence and ongoing training requirements.\nGain insights into ASIC’s expectations for risk management systems\, breach reporting\, and dispute resolution (including AFCA).\nReview key regulatory guides (e.g.\, RG 104\, RG 105\, RG 166) and how they apply to day-to-day operations.\nIdentify common compliance pitfalls and strategies to mitigate regulatory risk.\n\nRegistrations: Microsoft Virtual Events Powered by Teams
URL:https://uac.org.au/event/afsl-compliance-obligations/
CATEGORIES:Education & Training
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