Financial Advisers will soon be scrutinised by ASIC on how they identify, record and deal with complaints.
The new regulatory guidance (RG 271) becomes enforceable on 5 October.
It will involve a far more proactive management approach that serves to build data.
Compliance is a ‘must’ thanks to quite a few standards that come with the force of law.
Whether you have one complaint a year or one thousand, ASIC will require AFSL holders to be able to quickly “resource up”.
This webinar session will show participants how to manage the new requirements in a cost-effective way.
It will cover the key changes and focus on the practicalities of operationalising compliance.
We will also demonstrate a simple tech solution as an add-on capability to reinforce existing procedures and help meet the tightened standards.
The session will be run in an interactive way with Q&A throughout.
To obtain CPD for AFA Webinars you must watch the full webinar presentation. Your CPD certificate will be emailed to you within one week of the webinar being held.