FAQ

Is a Responsible Manager liable for compliance failures?

A Responsible Manager is not automatically personally liable for every compliance failure simply because they are nominated as a Responsible Manager.

The licence obligations sit with the AFS licensee, and ASIC’s focus in RG105 is on whether the licensee has the organisational competence needed to provide the authorised services. That said, a Responsible Manager can still face personal exposure in some circumstances, especially if they are also a director, officer, relevant provider, or are personally involved in misconduct, misleading conduct, or other contraventions.

The practical point is that nominating someone as a Responsible Manager does not shift the licensee’s obligations away from the business. But the role is not risk-free either. If you are proposing to act as a Responsible Manager, you should understand both the scope of the role and any other positions you hold that may carry separate legal responsibilities.

Subscribe

Every fortnight “Three Hit Tuesday” delivers thought leadership, considered analysis and insights that will help you improve your advice, more effectively manage your regulatory risks and make you better informed than your peers.

AS-Subscribe Form

"*" indicates required fields

This field is for validation purposes and should be left unchanged.

We respect your privacy. We know everyone says that, but we promise that we won’t sell your contact details to dodgy telemarketers, spam your email or otherwise exploit your trust.

Step 1 of 8 - Your Role

This field is for validation purposes and should be left unchanged.

Assess your ASIC exposure

Answer a few targeted questions to identify where your compliance may not stand up under ASIC review.

Takes less than 2 minutes. No preparation required.

What best describes your role?