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Thu 07 Mar 1:00 PM - 2:00 PM (AEDT)

Derivatives Compliance Forum - March 2024

Australian Exchange Group
Burns Philip Building, Ground Level, 7 Bridge Street, Sydney, NSW, 2000
Hybrid (Online option also available)

Join us in Sydney or online for our first Derivatives Compliance Forum of the year. This forum will be jam-packed with recent regulatory, cyber and crypto updates and more.

Wed 20 Mar 11:00 AM - 12:00 PM (AEDT)

WEBINAR: Breach Reporting – Your step-by-step guide to identifying and reporting common incidents and breaches

Webinar

In this highly practical webinar, we’ll take you step-by-step through the Incident and Breach reporting process using some common situations that we’ve come across.

The scenarios we’ll cover … Find out more >

Thu 28 Mar 2:00 PM - 5:00 PM (AEDT)

AFSL Responsible Manager Training (RG 105) – Online Workshop – March 2024

Webinar

One of the key requirements for an AFS licensee is to demonstrate the organisation's competence, as set out in ASIC RG 105 AFS licensing: Organisational competence. Licensees can … Find out more >

Wed 17 Apr 11:00 AM - 12:00 PM (AEST)

WEBINAR: The Forgotten Law – the Spam Act: Do you really know what you can and can't do?

Webinar

Bring along your marketing staff at no additional cost

This year, we’re exploring a few ‘forgotten’ pieces of legislation that can get financial services firms in hot water but … Find out more >

Tue 30 Apr 2:00 PM - 5:00 PM (AEST)

AFSL Responsible Manager Training (RG 105) – Online Workshop – April 2024

Webinar

One of the key requirements for an AFS licensee is to demonstrate the organisation's competence, as set out in ASIC RG 105 AFS licensing: Organisational competence. Licensees can … Find out more >

Wed 29 May 2:00 PM - 5:00 PM

AFSL Responsible Manager Training (RG 105) – Melbourne Workshop – May 2024

Holley Nethercote
Level 32, 140 William Street, Melbourne 3000

One of the key requirements for an AFS licensee is to demonstrate the organisation's competence, as set out in ASIC RG 105 AFS licensing: Organisational competence. Licensees can … Find out more >

Thu 20 Jun 8:00 AM - 9:30 AM

Advice Licensees Compliance Forum Breakfast (Sydney, June 2024)

Cliftons
Level 13, 60 Margaret Street, Sydney, NSW, 2000

Who should attend?

This forum is for compliance officers and managers, in-house legal counsel, directors and responsible managers in the financial advice sector. The purpose of the forum is … Find out more >

Wed 26 Jun 10:00 AM - 1:00 PM (AEST)

AFSL Responsible Manager Training (RG 105) – Online Workshop – June 2024

Webinar

One of the key requirements for an AFS licensee is to demonstrate the organisation's competence, as set out in ASIC RG 105 AFS licensing: Organisational competence. Licensees can … Find out more >