Financial Services Masterclass Australian Credit Licence and Australian Financial Services Licence training

Transcription

1 Financial Services Masterclass Australian Credit Licence and Australian Financial Services Licence training Date: 12 June 2018 or 26 June 2018 Time: AM PM Location: Suite 13.05, 179 Elizabeth Street, Sydney NSW 2000 Nearest train stations are St James and Town Hall Parking available next door at Sheraton on the Park or Piccadilly Centre Andrea Beatty is pleased to launch, in conjunction with Keypoint Law, a Financial Services Masterclass. This Masterclass will be a straight-talking, interactive workshop that will: discuss current regulatory issues faced by financial services organisations, and outline what financial services participants need to know to meet the obligations and responsibilities of Australian Credit Licence and / or Australian Financial Services Licence holders. Responsible managers that attend can claim up to 7 hours towards their CPD obligations. Program 10:00 10:10 am Introduction and welcome 10:10 12:30 pm Session 1 AFSL & ACL Responsible Managers 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 ACL & AFSL Responsible Managers 12:30 1:00 pm Lunch 1:00 3:00 pm Session 2 Focus areas 3:00 3:15pm Afternoon tea Responsible lending Hardship Advertising and marketing AML / CTF update ASIC enforcement activities

2 3:15 4:45 pm Session 3 Industry updates 4:45 5:00pm Conclusion and questions Who should attend this session? Costs Banking Royal Commission Comprehensive Credit Reporting Mandatory Data Breach Reporting External dispute resolution Competition in the Australian Finance System Code of banking practice precedent for lending industry regulation Flex commissions Responsible Managers ACL and AFSL holders 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 Representatives of ACL and AFSL holders Fintech and regtech developers / promoters Full day: AUD1,195 per person plus GST Half day: AUD795 per person plus GST Refreshments and lunch will be provided. Discounts are available for group bookings. For further information, contact us at 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 How to register To register, please complete the registration form and return it to Melbourne If you are interested in attending a Masterclass in Melbourne, please register your interest at 2

3 Presenter Andrea Beatty Andrea Beatty specialises in financial services law, including financial product regulation, licensing and compliance, privacy and spam regulation, anti-money laundering laws, consumer credit, finance and mortgage broking, banking, payment systems regulation, e-commerce, personal property securities reform and consumer protection. Andrea has been recognised in the Australian Financial Review's Best Lawyers Awards from 2012 to 2018, for financial institutions and regulatory law. Andrea is also ranked in the 2016 and 2017 Chambers Asia (Australia) Legal Directory Rankings for Financial Services Regulation. Andrea has published 5 editions of the leading consumer credit text - Annotated National Credit Code (Lexis Nexis, 5th edition 2014). Andrea's financial services blog and published articles can be found at 3

4 REGISTRATION FORM Please complete all sections of this registration form. Submit your completed registration form by to 1. Registration details Mr. Ms. Dr. Prof. Family Name:... First Name:... Position:... Organisation/Company:... Address:... Post code:... Town:... Country:... Phone:... Fax: Specific diet requirements (vegetarian, allergies etc.): Session Please select one option. 12 June June Registration fees Fee GST Total Full-day registration fee $1, $ $ Session 1 only registration fee $ $79.50 $ The registration fee includes workshop material, coffee breaks and lunch. 4. Payment Bank: National Australia Bank Account name: Andrea Beatty BSB: Account number: New Payments Platform ID: Currency: AUD 4

5 All cancellations must be in writing. Cancellations received 7 days before the training session are subject to a charge of 50% of the registration fees. Cancellations within 7 days of the training session will not be refunded. Replacements by colleagues (i.e. transfer of the registration) are welcome. 5