Responsible Manager Training

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 half-day Responsible Manager Workshop 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, the Centrepoint Compliance team 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

The workshop will include the opportunity for Responsible Managers and Compliance Officers to:

• Take example ASIC notices and develop a response plan

• Prepare a breach notification that addresses all of ASIC’s questions and concerns

Be prepared and feel confident. Secure your place today.