RM Training – Ongoing Service Arrangements for Licensees

CPD Points: 3.00

Service and culture failures within large advice licensees have dominated headlines in 2018. And while ASIC has said that it has no legislative authority to require licensees to repay clients who have not received services paid for, the regulator has other means.

This half-day Responsible Manager workshop will focus on ongoing service arrangements for licensees. You’ll explore:

• The spotlight on ASIC’s ‘fees for no service’ activities
• The regulatory and compliance requirements around ongoing service arrangements
• Comparative differences between different packages
• How to identify possible service failures
• What to do when you identify service failures
• ASIC’s expectations for remediating affected clients
• How to mitigate risks with your service model

Who should attend?

This workshop is designed for Responsible Managers and compliance staff. Registration is available for current members of the Centrepoint Alliance Licensee Solutions community only.