Responsible Managers: Your role and obligations
Building on Clinic 1 of this Program, this clinic will discuss the liabilities you face as a responsible manager (RM) and practical ways you can protect your interests. This clinic includes a one-hour discussion forum with an industry expert, which gives you a unique opportunity to raise issues that specifically affect your role as RM and to help you understand how your organisation can better meet its licensing obligations.
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Program Outline
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Program Summary
| PROGRAM: | Responsible Managers |
| TITLE: | Clinic 2 - Your Role and Obligations |
| FEE: | See program outline |
|
Sydney Aug 14, 2013 |
1:00pm - 4:30pm |
About the Speaker
Fadi C. Khoury, Financial and Investment Services Lawyer, Norton Rose
Fadi specialises in financial and investment services. He has extensive experience advising local and offshore managers on the establishment of investment products – particularly real estate funds, private equity vehicles, retail managed funds, hedge funds, listed investment companies and structured products. Fadi also advises in relation to foreign investment, investment management, and regulatory matters, including AFS licensing. Fadi lectures in securities law, real estate funding and financial services as part of various Master of Applied Finance programmes.
Who is it for?
This clinic is suitable for individuals who have been nominated as RM on their organisation’s AFSL, for a firm operating in Australian traded markets and are:
- seeking recognition of their skills and knowledge
- working for an AFMA member organisation and requiring industry accreditation
- needing to satisfy regulatory training requirements under RG 105 and/or RG 146
- seeking a nationally recognised workplace qualification in finance
- aspiring to further their career in Australian traded financial markets, or to increase their knowledge in this area.
What will you learn?
By the end of this clinic you should be able to:
- describe the role of an RM
- explain the knowledge and skill requirements for an RM
- evaluate and assess whether you are meeting your obligations as an RM
- describe the circumstances in which RMs may be exposed to liabilities and how to reduce this exposure
- lead and motivate your workplace team to ensure compliance with AFSL obligations.
What is the workload?
The estimated workload for this clinic includes :
- 3.5 hours of workshop attendance
- approximately 20–30 hours of self-study
- completion of the assessment (see below)
What is the assessment?
There are two assessment components for Clinic 2:
- in practice exercises. Approximately 60 short-answer activities that develop your understanding of how your organisation fulfils its obligations as an AFS licensee and what you need to do as its RM. These are contained within your manual.
- interview-based assessment. One 60-minute interview covering both Clinics 1 and 2, based on your answers to the ‘in practice’ exercises and conducted after you have attended Clinic 2.
What do you achieve by completing this clinic?
You will be awarded a Statement of Attainment when Clinics 1 and 2 are successfully completed, as partial completion of the Advanced Diploma of Financial Licensing Management FNS67011. To achieve the Advanced Diploma, you need to complete one of the elective pathways detailed here.
Testimonials
This is very valuable training.
This workshop was invaluable as it promoted a great level of discussion.
Very engaging presenter.