AFSL Responsible Manager Forum

Are you up to date with all the compliance changes and requirements that may impact your Australian Financial Services Licence (AFSL?)

The ever-changing financial services landscape has meant AFSL holders are constantly under the microscope, so it has never been more essential to stay on top of what is happening in the industry and understand the impact of regulatory developments.

The Responsible Manager Forum is designed for existing, new and prospective Responsible Manager audiences, compliance officers, and other senior managers and directors operating within the Australian financial services environment.

Each high-level forum provides participants with a legal, regulatory and advocacy update, and addresses other current topical issues.

A certificate of attendance outlining CPD hours will be awarded at the conclusion of this workshop.

This workshop is not recorded.

Date

Thursday, 14th November 2024 1:00pm – 3:30pm AEDT

This webinar will be delivered via Zoom and will not be recorded.

Agenda

• Understanding you AFS Licence obligations, a quick recap
• Responsible Managers vs Directors: Exploring their unique and complementary roles
• Spotlight on breach reporting
• Balancing profits and compliance: case studies on Responsible Managers in action
• Compliance as a Risk Management tool, practical examples and insights
• On the radar: Recent & upcoming regulatory changes and how they might impact you
  • DBFO
  • AML/CTF Bill 2024
  • Review of wholesale tests

About the presenters

Selin Ertac, Director & Principal Consultant

Selin started Tangelo to help solve problems across the industry. She wanted to take her extensive expertise and translate that into pragmatic and proactive solutions for companies and licensees of all sizes. She knows that when you’re working in the business you don’t always have the capacity to work on the business – and yet with all the pressure on financial services – working on the business has never been more important.
Selin has over 20 years experience working with a variety of wealth and advice businesses, both large and small, providing strategic leadership and managing complex projects and processes. Prior to starting Tangelo, Selin worked as Head of Advice Development for IOOF/Insignia, with a focus on optimising the quality and efficiency of advice across IOOF’s networks. Selin drove the development of improved and streamlined business processes and regulatory controls implemented across multiple advisory networks.

Conrad Travers, Director & Principal Consultant

Conrad likes nothing more than to be given a problem to solve – it’s why he started Tangelo in the first place. With all the pressures on licensees and advice practices, he often finds clients don’t have the time or headspace to step back and accurately diagnose what is going wrong – let alone develop a strategy to fix the problem.
Conrad has over 18 years experience in financial advice, working with organisations and licensees of all sizes in designing and delivering complex transformational change in risk, compliance, operations and project management. Before starting Tangelo, Conrad worked for 10 years at ANZ Advice before transitioning to IOOF/Insignia, managing teams of 20-40 staff as part of head office and shared services functions for both salaried and aligned adviser networks.