Regulatory Compliance and Consumer Protection: Maintaining Your AFSL and Meeting Compliance Requirements
Getting your AFSL is only the first hurdle; maintaining compliance is the marathon. Clearly, even large licensees have struggled to comply with the laws and their license conditions. Make sure you have dotted the i’s and crossed the t’s on your compliance checklist by attending this 1 hour webinar with Sophie Gerber.
Description
Attend and earn 1 CPD hour
FASEA CPD Categories
Estimated 1 CPD hour in Regulatory Compliance and Consumer Protection
Maintaining your AFSL and Meeting Compliance Requirements
- AFS licensing: how to ensure you comply with your ongoing AFSL obligations
- Client documentation, ASIC reporting, training and audits
- What constitutes a conflict of interest? How should they be dealt with?
- What is considered a breach and when to notify ASIC?
- What is ASIC’s current focus? Where are AFSL holders going wrong?
- The consequences and costs of non-compliance
Presented by Sophie Gerber, Director, Sophie Grace Compliance
Learning Objectives:
- Consider ongoing AFSL obligations and where AFSL holders are failing their compliance obligations
- Gain a thorough understanding of conflicts of interest and breach
- Be aware of ASIC’s focus on AFSL holders