This module discusses what you need to know as a responsible manager about the regulatory environment in which AFS licensees operate generally, and about your organisation’s obligations in particular. An important focus is what your organisation is currently doing to meet its obligations. Equally important is the module’s provision of guidance and principles to support you in the supervisory, ethical and leadership dimensions of your role.

This module discusses what you need to know as a responsible manager about your AFS licensee’s ongoing legal obligation to ‘have adequate risk management systems’. The module identifies the key risk areas in financial markets. It discusses ASIC’s expectations in RG 104 Licensing: Meeting the general obligations. And it steps participants through the risk management process defined in International Standard ISO 31000 Risk management: Principles and guidelines.

This module discusses what you need to know as a responsible manager about your AFS licensee’s ongoing legal obligation to ‘have adequate risk management systems’. The module identifies the key risk areas in financial markets. It discusses ASIC’s expectations in RG 104 Licensing: Meeting the general obligations. And it steps participants through the risk management process defined in International Standard ISO 31000 Risk management: Principles and guidelines.

This module discusses what you need to know as a responsible manager about the regulatory environment in which AFS licensees operate generally, and about your organisation’s obligations in particular. An important focus is what your organisation is currently doing to meet its obligations. Equally important is the module’s provision of guidance and principles to support you in the supervisory, ethical and leadership dimensions of your role.