HYBRID WORKSHOP: AFSL and ACL Compliance Workshop | Driving success in 2024

Full day: $ 1500 Full day plus GST per person

Event Location: Piper Alderman, Level 23, Governer Macquarie Tower, 1 Farrer Place Sydney NSW, Australia

Event date: 30 July 2024

Time: 10:00 am - 5:30 pm

Timezone: UTC +11 AEDT

CPD points: 7 or 9 points


Andrea Beatty, Partner in Piper Alderman’s financial services regulatory team offers a workshop for the financial services industry on:

  • achieving compliance with ACL and AFSL obligations;
  • revitalised and refreshed financial executives safety skills;
  • regulatory tips for a post COVID-19 world; and
  • the things Responsible Managers and Representatives and those responsible for their Representatives need to know.

This training workshop is a practical guide to ACL and AFSL licensing obligations, with current case studies to keep your business informed and up to date on changes in the industry.

This session is suitable for:

  • Financial industry firms
  • ACL and AFSL responsible managers – mandatory CPD
  • ACL credit representatives and AFSL authorised representatives
  • Legal and compliance personnel
  • Operations and marketing personnel
  • Mortgage and finance brokers
  • Financial planners and advisers
  • Credit providers
  • FinTech and regtech developers / promoters

To register for this workshop, please click ‘Register To Attend‘.

Programme Outline
10:00 – 10:10 am Introduction and welcome
Session 1 – AFSL & ACL key obligations
  • Your licence conditions
  • Responsible Managers – role, liabilities and protections
  • Conflicts of interest
  • Financial advice
  • Civil Penalty Provisions
  • Quick tips for AFSL & ACL Responsible Managers
Session 2 – Successfully leaping 2023 traps
  • Breach reporting – strict obligations $$$ penalties and remediation
  • ASIC enforcement activities
  • ASIC’s product intervention powers
  • Design and distribution obligations and target market determinations
  • Unfair Contract Terms (UCT) Regime – more reform!
1:00 – 1:30 pm Lunch
Session 3 – Financial Services spotlight
  • Responsible Lending obligations
  • ASIC crusade against defective TMDs
  • Contemplated changes to the AML/CTF Act
  • Experienced provider pathway for financial advisors
Session 4 – AFSL and ACL industry updates
  • The Privacy Act, data breach reporting and cybersecurity
  • Spam Act and Scam Reform
  • AUSTRAC enforcement activities
  • Advertising and marketing
  • AFCA issues and IDR update
  • AI in Financial Services
  • Consumer Data Right and Open Banking
  • Greenwashing
4:45 – 5:15 pm Conclusion and questions

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 workshop is open to all organisations, excluding other legal service providers.

About Presenter

Andrea Beatty



Piper Alderman

+61 2 9253 3818

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