Are you regulator ready?

By popular demand, Centrepoint Alliance Head of Licensee Standards, Nicole Alexander, hosted a one-hour webinar for those who were not able to make the Responsible Manager Training workshop session in late 2019.

What does this this webinar cover?

This informative webinar provides a snapshot of the insights covered in the workshop, including:
  • ASIC’s approach to surveillance and enforcement including how and when ASIC conduct investigations
  • The different notices ASIC might issue, what they mean, and how Licensees could respond
  • Licensee obligations, including reporting and remediating breaches of financial services laws

Who should watch this video?

  • Aspiring AFSL holders
  • Compliance Managers
  • Responsible Managers

Our Presenter

Nicole AlexanderNicole Alexander, Manager Compliance Services

Nicole joined Centrepoint Alliance’s compliance team in 2010 with a background in financial services and several years as a financial adviser. She managed a team of Professional Standards Consultants before commencing her current role as Compliance Services Manager supporting licensees and advisers to meet their compliance obligations and navigate the changing regulatory landscape. Nicole holds an Advanced Diploma of Financial Services (Financial Planning).