Responsible Manager Training Webinar


Being Regulator Ready

Are requests from regulators making you uncomfortable and stressed? Do you and your compliance officers know how and when ASIC conducts investigations and surveillance activities?

Our Responsible Manager training webinar has been designed to equip you and your Compliance Officers with the information and skills to interact with and respond to regulators with confidence.

In an informative and interactive session, Head of Licensee Standards Nicole Alexander will explore:

  • ASIC’s approach to surveillance and enforcement including how and when ASIC conduct investigations
  • The different notices ASIC might issue, what they mean, and how Licensees could respond
  • Licensee obligations, including reporting and remediating breaches of financial services laws
  • 2:30 pm - 3:30 pm