AFSL Responsible Manager Training (RG 105) – Online Workshop – June 2025
What's covered
This year (2025) we’ve revised our manual. If you’ve attended our 2024 public seminars, this one is different and tracks 2025 trends. It includes:
- An overview of an AFSL's Responsible Manager's role, including what the duties and responsibilities are of a Responsible Manager
- A summary of the fundamental features of the financial services reform regime
- Consideration of licensee obligations
- AFS licence authorisations
- Whether personal liability attaches to your role as a Responsible Manager
- A summary of key obligations under the Design and Distribution Obligation (DDO) regime, including the purpose of Target Market Determinations (TMDs);
- Reportable situation (breach) identification, assessment and reporting
- ASIC's role, recent regulatory action and enforcement priorities for 2025
- New stories about RMs being banned and other regulatory action
- A discussion about the new wave of regulatory reforms: Privacy, Delivering Better Financial Outcomes, AML/CTF and digital asset reforms.
Wed 25 Jun 2025
2:00 PM - 5:00 PM (AEST)
Workshop
Price: $750
GST: $75.00
$825.00
One of the general obligations of an AFS licensee is to be “competent” to provide the financial services. Licensees demonstrate the organisation's competence by maintaining and updating the knowledge and skills of its Responsible Managers, as described in ASIC RG 105 AFS licensing: Organisational competence.
Our half-day Responsible Manager workshop has been designed to provide Responsible Managers and compliance staff with an overview of the role of the Responsible Manager, how they fit within the broader regulatory framework, and help in meeting the licensee's obligation of maintaining organisational competence.
Who should attend?
- AFSL Responsible Managers
- Compliance managers, compliance staff and support staff who need to understand the role of Responsible Managers
- People nominated as Responsible Managers (but who, as part of a licence application, are required by ASIC to undertake a training course like this one before ASIC will allow them to be Responsible Managers)
What people have said about our Responsible Manager course
- "Current and real" (Julie Rynski - National Australia Bank)
- "The presenters made boring content engaging" (Shae Russell - Port Phillip Publishing)
- "Very good examples and interactive. Reinforced understanding of the 3 key RM responsibilities and detailed understanding on s912A" (Joe Kassel - AMP Capital)
- "I now understand the purpose and role of the RM. Thank you" (David Deverall - Hunter Hall)
- "Flowed well. Presented by hands-on experts, not trainers. Role-play very effective in highlighting issues to think about." (Mark Oliver - Macquarie Equities)
- "Compliance made enjoyable." (Oliver Imre - IG Markets)