Supervision of CARs – Do you know what you're on the hook for as a licensee?

15 Oct. 2025

Topical Webinars

Jesse Vermiglio
Partner
Supervision of CARs – Do you know what you're on the hook for as a licensee?

As a licensee, you should know that you are responsible for monitoring and supervising your representatives in the provision of financial services.

But do you know what your obligations are for things like cyber? What about privacy? Do you let your CARs choose their own CRM system?

In this webinar, we will explore how far you should be going in terms of setting and monitoring the services your CARs provide.

What's covered

  • What is considered ‘adequate’ when it comes to setting standards in relation to your obligations?
  • How are you ensuring those obligations are being met?
  • Is your compliance team sufficient to supervise the number of representatives you have?

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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