Responsible Manager Training: Breach Reporting Obligations


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Are you confident you're meeting your breach reporting obligations?

It has been six months since new breach reporting obligations commenced along with a raft of other regulatory changes, and licensees are adapting to the new regime, with many licensees reporting breaches for the first time.

Did you know that it’s not just significant breaches that must be reported?

Join Nicole Alexander, Head of Licensee Solutions at Centrepoint Alliance, to explore common breaches that require mandatory reporting to ASIC including breaches of licensee obligations and financial services laws.

During this session, we will examine the breach management process from identifying and investigating through to remediating and reporting, with a look at the regulatory portal where licensees report, track and correspond with ASIC.

A lack of breach reporting may indicate strong compliance but can also indicate inadequate arrangements for identifying breaches.

After this session, you will have gained a better understanding of the requirements to ensure your processes are up-to-date, as well as tips on how to prevent common ‘reportable situations’ from arising.

We look forward to you joining us on the day! 

  • 11:00 am - 12:00 pm