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.

Meet our Guest Speakers 
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.

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.

Register for the event.