Course curriculum

  • 1
    Introduction to the duties of a Responsible Manager
    • Duties of responsible managers updated October 2021
    • responsible manager duties powerpoint
    • Comments and questions
  • 2
    CPD requirements for Responsible Managers
    • CPD requirements
    • cpd summary
  • 3
    Creating a compliance framework
    • Compliance framework
    • compliance framework powerpoint
  • 4
    Financial services and credit licence breach reporting October 2021
    • Financial services and credit licence breach reporting October 2021
    • breach reporting powerpoints
    • Breach Reporting Guide October 2021
    • Breach reporting quiz
  • 5
    Product Development
    • Product Development updated October 2021
    • Product Development powerpoints
  • 6
    Third party risks
    • Third party risks updated October 2021
    • Third party risks powerpoint
  • 7
    Responsible Managers' Manual
    • Responsible Managers' Manual updated to 1 October 2021
  • 8
    Compliance Reporting Calendar
    • Compliance Reporting Calendar
  • 9
    Responding to regulatory investigations
    • Procedures when notice given
    • Procedures when no notice given
  • 10
    Technology and social media use policy
    • Technology and social media use policy
  • 11
    Conflict of interest policy
    • Conflict of interest policy
  • 12
    Document retention
    • Document retention checklist
  • 13
    Marketing risk governance policy
    • BRIGHT LAW MARKETING RISK GOVERNANCE
  • 14
    Responsible Manager policies
    • Responsible Manager CPD policy
    • RM Committee Charter
    • RM Committee Meeting Agenda
    • RM policy

Course description

An introduction to the obligations of Responsible Managers of Australian Financial Services Licences and Australian Credit Licences.

The videos are:

1. Introduction to the duties of a Responsible Manager (27 minutes)

2. CPD requirements for Responsible Managers (6 minutes)

3. Creating a compliance framework (20 minutes)

4. Breach reporting (50 minutes)

5. Product development (28 minutes)

6. Third party risks (27 minutes). The videos are supported by draft policies and checklists and a 160 page manual for RM's .