2nd November

AFSL and ACL Compliance Workshop

Name: AFSL and ACL Compliance Workshop
Start: 2023-11-02T10:00:37+1100
End: 2023-11-02T17:30:37+1100
Location: Piper Alderman

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Event description

Andrea Beatty, Partner in Piper Alderman’s financial services regulatory team offers a workshop for the financial services industry on:

achieving compliance with ACL and AFSL obligations;
revitalised and refreshed financial executives safety skills;
regulatory tips for a post-COVID world; and
the things Responsible Managers and Representatives and those responsible for their Representatives need to know.

This training workshop is a practical guide to ACL and AFSL licensing obligations, with current case studies to keep your business informed and up to date on changes in the industry.

This session is suitable for:

Financial industry firms
ACL and AFSL responsible managers – mandatory CPD
ACL credit representatives and AFSL authorised representatives
Legal and compliance personnel
Operations and marketing personnel
Mortgage and finance brokers
Financial planners and advisers
Credit providers
FinTech and regtech developers / promoters

Registration fee includes: Materials, lunch, light refreshments, tea & coffee, and networking drinks and canapes.

Tickets for good, not greed Humanitix dedicates 100% of profits from booking fees to charity

Hostinformation

Andrea Beatty

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Andrea specialises in financial services, banking and corporate law.

Andrea brings legal capability and insight into regulatory matters, corporate governance, compliance and risk management. She assists her clients to adapt to the changing regulatory landscape to ensure they meet the expectations of their customers and shareholders and regulators.

Andrea’s expertise extends to designing and conducting a broad range of financial services training for financial services providers, their senior executives and responsible managers, legal & compliance officers, consumer advocates and lawyers.

Andrea advises domestic and foreign institutions on acquiring financial services and credit licences and exemptions. She specialises in advising on structuring and establishing financial services and credit businesses including licence obligations, drafting plain English documents, procedures, systems audits and online web application processes. She also advises on regulatory compliance projects and audits, regulatory enforcement defences, and regulator investigations and disputes.

Andrea’s experience includes advising clients on financial products and channels, including FinTech solutions, peer to peer lending platforms, crowd funding, payment systems, crypto currency, reward programs, gift cards and financial services acquisitions, disposals and alliances.

Andrea also has in-depth knowledge of privacy laws and regularly advises clients on data and privacy security and breach remediation.

Andrea has been appointed an AUSTRAC authorised external AML/CTF auditor, regularly developing and conducting independent reviews of AML/CTF programs.

Andrea regularly conducts training programs and full day workshops for clients including Australian Credit Licence and Australian Financial Services Licence compulsory responsible managers training, privacy training, regulatory updates and “Back to Basics” credit law, privacy, anti-money laundering and other training workshops.

Andrea is widely published and her authorships include 6 editions of the leading consumer law text ‘Annotated National Credit Code’ the most recent edition published in November 2019 by LexisNexis, the ‘Australia’ chapters in the ‘Consumer Finance Law Review’ and the ‘Banking Regulation Review‘ (The Law Reviews, Law Business Research Ltd UK).

Andrea is a member of numerous financial services professional associations.

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