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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.
Please complete this form to enrol into the next Responsible Manager Forum session. A member of the continuing education team will be in touch to take payment and complete the enrolment within 3 business days of submitting this form. *Denotes Mandatory fields
Step 1 of 3
STUDY MODE
100% online via Zoom
NUMBER OF SUBJECTS
N/A
NEXT INTAKE
15 May 2024
COURSE FEE
$300.00
AVAILABLE LOANS
AQF LEVEL
COURSE DURATION
2.5 hours
ACCREDITATION
PROVIDER ID
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.
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.
Wednesday, 15th May 2024 1:00pm – 3:30pm AEST
This webinar will be delivered via Zoom and will not be recorded.
Katrina Swift, Senior Consultant, Tangelo Advice Consulting
Katrina is a financial planning compliance SME who has held senior roles across audit, advice compliance and first line risk management for both BT Advice and Commonwealth Financial Planning. She also led the development of remediation work for the Senate Enquiry reporting, and contributed extensively to the Royal Commission submission.
Significant projects she has delivered include an uplift of monitoring and supervision program, design and delivery of remediation framework, establishment and delivery of advice audit frameworks and scorecards including RG 515 alignment and control management. She has experience working for both salaried and aligned adviser networks, including self-licensed businesses.
Ataia Elhage, Consultant, Tangelo Advice Consulting
Ataia is a financial advice and compliance SME who is across all the regulatory details and complexity of advice requirements impacting the industry. She excels at translating and communicating complex ideas and requirements – from policies, to training to stakeholder management.
Ataia is well versed in advice and compliance regulation and best practice, and in her over 24 years in the industry she has held numerous Senior Advice Specialist and Compliance roles with various Licensees including AMP and BT Financial Group. Prior to that Ataia worked in technical services at various organisations including AMP, MLC, and Kaplan. To round off her experience Ataia has also worked on secondment at ASIC as an analyst.
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$300 (Inc. GST) per participant.
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