Responsible Managers

Responsible Managers

Responsible Managers Only Forum

This is an invite-only forum for Responsible Managers of Australian Financial Services Licensees (AFSL).  If you’re a Responsible Manager, read on!

ASIC says that Responsible Managers need to “understand the legal and compliance obligations” that relate to the financial services and products you oversee (RG 105).   Since AFSLs came into existence in 2002, we’ve helped people like you meet this obligation through training, tailored regulatory updates, and ongoing legal advice through our two businesses, Compact - Compliance & Training and Holley Nethercote – Commercial & Financial Services Lawyers.    

After running hundreds of half-day seminars, sitting on compliance committees, and reviewing countless licensees under ASIC-mandated regulatory action or licensee-initiation, we’ve learnt a thing or two about what matters to Responsible Managers.  

We know that meeting with other like-minded Responsible Managers and discussing how regulation is applied at a practical level, is invaluable.  It’s also nice to do this over a tasty lunch outside your office.

The Responsible Managers Only Forum helps Responsible Managers like you meet each other and learn from one another.  It’s currently run in Melbourne and Sydney.

We facilitate regular forum meetings, and do not broadcast the forum contents online.

Our next dates and topics for 2018 will be:

"PI insurance: How to get the most out of your PI" and some Royal Commission highlights

  • Tues 24 July, Melbourne

"APRA's review of CBA – takeouts for directors and compliance teams" and some Royal Commission highlights 

  • Tues 28 August, Sydney

Royal Commission Takeouts 

  • Tues 8 November, Melbourne
  • Tues 4 December, Sydney
f you’d like to request an invitation or nominate/propose someone, simply fill out the form below. 
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