AFSL & ACL Compliance Training

Andrea Beatty conducts CPD workshops to update Australian Credit Licence (ACL) and Australian Financial Service Licence (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
  • 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.

The Program

Session 1 – AFSL & ACL key obligations

  • Your rights, responsibilities and obligations as a licensee
  • Responsible Managers – your role, potential liabilities and protections
  • Conflicts of interest
  • Breach reporting
  • Quick tips for AFSL & ACL Responsible Managers

Session 2 – Financial Services focus areas

  • Financial advice
  • Blockchain and FinTech
  • Banking Royal Commission updates
  • ASIC enforcement activities
  • BEAR and FAR regime

Session 3 – ACL focus areas

  • Responsible lending
  • Hardship
  • Unfair contract terms
  • Comprehensive credit reporting
  • Buy-now-pay-later
  • ASIC enforcement activities
  • Case studies

Session 4 – AFSL and ACL industry updates

  • Privacy
  • Mandatory data breach reporting
  • AML / CTF
  • AUSTRAC enforcement activities
  • Advertising and marketing
  • AFCA and ASIC’s new IDR guidance
  • Whistleblowing laws
  • ASIC’s product intervention powers
  • Design and distribution obligations

Who should attend this session?

  • 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

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.

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 [email protected].

Register your interest for future sessions here


Andrea Beatty


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