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AFSL and ACL Compliance Workshops

Responsible Manager, Representatives, operations and compliance training



Andrea Beatty conducts CPD workshops to update ACL and AFSL participants on:

  • what they need to know to have trouble-free compliance with their ACL and AFSL obligations
  • the current regulatory issues and traps, and how to avoid them, and
  • the things Responsible Managers and Representatives and those responsible for their Representatives need to know.

An optional take-home multiple-choice open book exam can be taken following the workshop.

Our workshops are aimed at business and compliance personnel and are also an excellent update forum for in-house lawyers.

Responsible Managers can claim 7 CPD units and 9 CPD units if they complete an optional take-home multiple choice open book quiz.

Certificates of attendance will be given to all participants.

The program 

Session 1 – AFSL & ACL key obligations

  • Rights, Responsibilities and Obligations
  • Your licence and your obligations as a licensee – broad compliance obligations, internal systems requirements (e.g. risk management, conflicts of interests and dispute resolution), people and resourcing requirements
  • Quick tips for AFSL & ACL Responsible Managers

Session 2 – Financial Services focus areas

  • Financial advice
  • Banking Royal Commission
  • ASIC enforcement activities
  • The changing face of financial services

Session 3 – ACL focus areas

  • Responsible lending
  • Hardship
  • Flex-commissions
  • Unfair contract terms
  • Comprehensive credit reporting
  • ASIC credit card proposals
  • ASIC enforcement activities
  • Case studies

Session 4 – AFSL and ACL industry updates

  • Mandatory data breach reporting
  • GDPR
  • AML / CTF update
  • AUSTRAC enforcement activities
  • Advertising and marketing
  • External dispute resolution
  • Competition in the Australian Finance System
  • Code of banking practice
  • PEXA

Networking drinks

Who should attend this session? 

  • Responsible Managers of AFSL and ACL holders
  • ACL and AFSL holders 
  • ACL Credit Representatives and AFSL Authorised Representatives
  • In-house lawyers 
  • Credit and risk managers 
  • Complaints officers 
  • Internal and external dispute resolution customer service representatives 
  • Mortgage and finance brokers 
  • Financial planners and advisers 
  • Credit providers
  • Fintech and regtech developers / promoters

Details and expressions of interest 

Full day: $1,500 inc GST per person

Half day: $1,050 inc GST per person

Refreshments and lunch will be provided. 

Further dates for the 2019 program will be released shortly. 

If you are interested in attending a training session, please register your interest using the registration link below.

We also conduct bespoke financial services and responsible manager training at client premises for a fixed fee for unlimited attendees. For further information, contact us at

Register your contact details here