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How to comply with new ASIC Complaint requirements under RG271
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.

CPD
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.

Jul 27, 2021 11:00 AM in Canberra, Melbourne, Sydney

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Speakers

Sean Graham
Managing Director @Assured Support
Sean is the architect for the OpenAFSL compliance platform and since 1996 has specialised in financial services law, compliance and risk management. He has extensive experience in distribution, stockbroking, product manufacturing and advice. Sean helps advisers and licensees to cope with regulatory complexity and frequent change by providing clear, practical and commercial advice.
Ross Paull
Founder & CEO, Guided Resolution
Guided Resolution develops software for resolving complaints and disputes that is scalable to any volume and produces speedier outcomes. Ross founded the business after a wide-ranging career in the AFS Industry (banking, sell-side, and buy-side) and he brings a deep understanding of client needs in this sector.