Course curriculum

  • 1
    Introduction to the duties of a Responsible Manager
    • Duties of responsible managers
    • 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
    AFSL breach reporting
    • AFSL breach reporting
    • breach reporting powerpoints
    • Breach Reporting Guide
    • AFSL breach reporting quiz
  • 5
    Product Development
    • Product Development
    • Product Development powerpoints
  • 6
    Responsible Managers' Manual
    • Responsible Managers' Manual updated to 1 January 2018
  • 7
    Third party risks
    • Third party risks
    • Third party risks powerpoint
  • 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. AFSL breach reporting (1 hour, 10 minutes)

5. Product development (22 minutes)

6. Third party risks (27 minutes). The videos are supported by draft policies and checklists and a 140 page manual for RM's .