AFSL Responsible Manager Training (RG 105) – Online Workshop – May 2026
What's covered
This year (2026) we’ve revised our manual. If you’ve attended our 2025 public seminars, this one is different and tracks 2026 trends.
It includes:
- Apply ASIC’s expectations of RMs to their day-to-day activities.
- Contrast RM“best practices” with practices that ended up getting RMs into trouble based on recent case studies.
- Apply an RM’s three functional responsibilities of oversight, competency and culture, to their areas of responsibility.
- We’ll take a closer look at “oversight” and indicators of systemic issues in the context of the recent court proceedings against financial services companies.
- We will focus on “culture” in the context of ethical decision making.
- Consider the ASIC v HSBC Federal Court case about scam prevention and the “efficiently, honestly, fairly” obligation.
- Apply the proposed Scams Prevention Framework to their day-to-day-activities.
- Apply the takeouts to their day-to-day activities.
Wed 27 May 2026
2:00 PM - 5:00 PM (AEST)
Workshops - Other
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)