Advice Licensees Compliance Forum – 4 April 2022

4 April 2022

Industry Forums

Zoe Higgins
Special Counsel
Paul Derham
Managing Partner
Rachel Erlich
Special Counsel
Advice Licensees Compliance Forum – 4 April 2022

This forum is for compliance managers, in-house legal counsel, directors and responsible managers in the financial advice sector.

The purpose of this forum is to share knowledge, discuss industry and regulatory developments and to address issues that others may be facing.

AGENDA

  • Breach Reporting
    • What is the defence of qualified privilege?
    • What is a “legally enforceable right”?
    • What is “misleading & deceptive”?
  • Changes to adviser standards
  • Reviews
    • Quality of advice review
    • ALRC review
  • Advising on cryptocurrencies
  • AFCA trends
    • New funding model (5 free complaints)
    • New platform for members
    • Independent review
    • Access their approaches (are there any other approaches)
  • Interesting Responsible Manager cases – the Schroeder Case

Non-Subscriber Price

Price: $125

GST: $12.50

$137.50 inc GST

CPD Details

1.0 hours

Categories:

  • Regulatory Compliance and Consumer Protection

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