Are you sure that your managers have enough knowledge of the AFS requirements to keep you on the right side of the regulator?
These sessions are for Responsible Managers, compliance managers and indeed any senior manager of a financial services business.
It takes a full day, but includes lots of interactive activities to keep you on your toes.
It covers the following areas:
- The Role and Responsibilities of Responsible Managers – what it means to be a Responsible Manager, the qualifications and experience required, responsibilities and overall liabilities involved.
- Regulation in the Financial Services Industry – who are the regulators and what do they do.
- Providing Financial Services – what is a financial or credit service and what compliance and disclosure obligations apply.
- AFS Licensees’ Obligations – an in-depth view of all the regulatory requirements that apply to financial services and credit businesses.
Contact us for more information or to design or book a training session.