Compliance for Accountable Persons and Responsible Managers

Compliance for Accountable Persons and Responsible Managers updated January 2024

what responsible managers need to know: A package of 6 videos (total time 3 hours) plus draft policies and checklists and a 160 page manual for RM's and Accountable Persons.

Buy $750.00

Course curriculum

1. Duties of responsible managers updated October 2021
2. responsible manager duties powerpoint
3. Comments and questions
1. CPD requirements
2. cpd summary
1. Compliance framework
2. compliance framework powerpoint
1. Financial services and credit licence breach reporting January 2024
2. Financial services and credit licence breach reporting January 2024 powerpoints
3. Breach Reporting Guide November 2023
4. Breach reporting quiz
1. Product Development updated October 2021
2. Product Development powerpoints
1. Third party risks updated October 2021
2. Third party risks powerpoint
1. Accountable Persons and Responsible Managers' Manual updated to 1 January 2024
1. Compliance Reporting Calendar January 2024
1. Procedures when notice given
2. Procedures when no notice given
1. Technology and social media use policy
1. Conflict of interest policy
1. Document retention checklist
1. BRIGHT LAW MARKETING RISK GOVERNANCE
1. Responsible Manager CPD policy
2. RM Committee Charter
3. RM Committee Meeting Agenda
4. RM policy

About this course

$750.00
27 lessons
2.5 hours of video content

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 .