COMPLIANCE

Breach Reporting Guide

 

The new AFSL and ACL Breach Reporting regime is fast approaching and will be effective as of 1 October 2021. The new regime overhauls the existing AFSL breach reporting regime and introduces a new breach reporting regime for ACL holders.

 

To assist our clients to navigate the news laws, we have prepared a Breach Reporting Guide that thoroughly outlines licensees’ key obligations under the new regime. We attach example pages above.

 

The guide, which is over 20 pages, steps through the new legislative regime as well as ASIC’s draft guidance in relation to the new obligations in a practical way that is simple and easy for your compliance and legal teams to understand. I have attached a few sample pages of the guide for you to review.

 

If you would like to purchase a copy of the Guide, we are providing this for a fixed fee of $5,000 + GST.

 

If you have any questions or would like to discuss further, please feel free to contact us at abeatty@piperalderman.com.au

Compliance Workshops

Andrea Beatty of Piper Alderman 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.

Responsible Managers can claim 7 CPD units and optional take-home multiple choice exams are available following the workshop for additional CPD points.

Who should attend this session?

  • Responsible Managers

  • ACL and AFSL holders

  • Representatives of 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

  • Fintech and regtech developers / promoters​

Cost

Full day: AUD$1,500 per person

Half day: AUD$1,050 per person

Refreshments and lunch will be provided.

Discounts are available for group bookings.

For further information, contact us at abeatty@piperalderman.com.au or register your interest for our next workshop here.

 

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 abeatty@piperalderman.com.au

 
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