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Responsible Manager Training – AFSL Executive Workshop – Sydney/Melbourne  

High Impact Training for Financial Services Executives On-The-Go.

If you are an AFS licence holder, you must ensure that your responsible managers and representatives receive ongoing training. Our interactive, “on-the-go” workshops are designed to keep you up to date with the latest industry changes, real-life case studies and exercises, and fast-track the practical development of new knowledge and skills.

Training is delivered in an interactive workshop environment providing attendees with:

  • A simple framework for understanding your core AFSL obligations;
  • Practical guidance on current regulatory issues and trends; and
  • CPD points for attendees.

What will we cover?

  • Financial services: Your obligations in a “nutshell”;
  • ASIC case study: Meeting your AFSL obligations in practice;
  • Risk Management: ASIC’s focus on Risk and Cyber Security;
  • Key issues and trends including ASIC’s Reports into Compliance and Holding Assets; and
  • Know Your Customer – AML/CTF and the Common Reporting Standards.

CPD Points: 2.5

Next Workshops

Sydney: Friday, September 15, 2017 – Click here for Sydney details 
Melbourne: Friday, September 22, 2017 – Click here for Melbourne details

RE Risk Management – Key Issues and Implementation Workshop – Sydney/Melbourne

Our workshop will explain and explore ASIC’s RG 259 Risk Management Systems of Responsible Entities, focusing on understanding some of the key concepts and associated challenges and equip you with practical guidance on how to address these. The workshop will cover:

  • How to draft and apply a risk appetite statement
  • What is meant by material risk
  • How to articulate and apply risk tolerance
  • Identifying material risks and controls, including stress testing and/or scenario analysis for liquidity risk
  • What are trends in this area overseas and how you can leverage their insights to your business

Industries of impact

  • Responsible Entities
  • Wholesale fund managers
  • MDA & IDPS providers

Who should attend

  • CFOs
  • Risk and Compliance personnel
  • Responsible Managers
  • Directors
  • In-house legal counsel

CPD Points: 2.5

Next Workshops

Sydney – Click here for Sydney details
Melbourne: Click here for Melbourne details

AML/CTF Masterclass – Sydney/Melbourne

The AML/CTF regime is complex and subject to constant change. As we approach the time of year when many Reporting Entities begin the formal Independent Review process, our interactive AML/CTF Masterclass is designed to:

  • fast track your understanding of key AML/CTF obligations and AUSTRAC expectations;
  • provide practical guidance to meet your AML/CTF obligations; and
  • highlight key tips and traps when preparing for an external Independent Review.

What will we cover?

  • Understanding your key AML/CTF obligations
  • How to identify money laundering or terrorism financing in your business
  • Risk Assessment – health check
  • AUSTRAC and recent insights into Compliance Assessments
  • Know Your Customer requirements
  • Use of third party providers – tips to ensure that you meet your requirements
  • Practical guidance through case studies and real-life scenarios
  • Preparing for an external Independent Review

 Who should attend?

  • AML/CTF Compliance Officers
  • Risk and Compliance personnel
  • In house legal
  • Key AML/CTF staff involved in your day to day AML/CTF operations.

CPD Points: 2.5

Next Workshops

Sydney – Click here for Sydney details
Melbourne: Click here for Melbourne details

Upcoming Events

ABSA Leaders Conference

Australian Boarding Schools Association’s (ABSA’s) Leaders Conference theme is Positive Change and focuses on ABSA’s catch phrase, ‘Creating the Future for Boarding Schools’.  

See CompliSpace at the conference. 

Date: 13 & 14 August 2017 

Location:  International Convention Center, Sydney

For more information and to register for this event click below.

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Balancing Risk Management and Student Care in Australian Boarding Schools

CompliSpace MD, David Griffiths, presents ‘The Boarding School Enigma – Balancing Enterprise Risk Management and Student Care’.

Date: 10 August 2017  
Time: 10:00 a.m. Sydney time

To save your seat, click below.

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Webinar Library

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Past Events

Boarding Australia National Conference

CompliSpace Managing Director, David Griffiths, will present at the Boarding Australia National Conference on July 7, 2017.

Attend to hear stimulating keynote speakers and workshop presenters discuss initiatives that strengthen student engagement, foster participation and community connection, as well as contribute to academic achievement.

Date: 5-7 July 2017 

Location:  Sea World, Gold Coast

For more information and to register for this event click below.

Learn More