As an AFSL holder, it is crucial to understand the obligations around identifying, investigating and remediating breaches, as well as comprehending reporting requirements to ASIC, exemptions, and implementing measures to ensure adherence to compliance standards.
Join us next week to hear from Jenny Mulders, Executive Director of Compliance at Source and Jessica Smith, Special Counsel at Hamilton Locke, as they provide expert insights on understanding incidents, breaches and the reportable system regime.
Our complimentary session will cover:
- Incidents and breaches
- What is a reportable situation?
- The obligation to report, and how to lodge
- Penalties for non-compliance
- Interaction between remediation and dispute resolution obligations, and incidents and breaches
- Practical measures to ensure compliance
- Q&A session
As allied teams, Hamilton Locke and Source provide a unique approach to legal, risk and compliance services. From day-to-day advice to specialist knowledge for complex matters, we provide the right-sized solutions for our clients when they need it the most.
Please register below to receive your link invite. We hope you can join us.
