Weak capability is one of the fastest ways to increase regulatory risk.
This training is designed to build practical, defensible capability across your organisation, from Responsible Managers through to advisers, compliance and operational staff.
You will learn how regulatory expectations are applied in practice, not just what the rules say.
Build or demonstrate competence aligned with RG105 and ASIC expectations.
Advisers
Understand how obligations apply in real advice scenarios, including conduct, disclosures and client outcomes.
Compliance Teams
Strengthen oversight, breach assessment and internal governance frameworks.
Operational Staff
Understand how day-to-day processes impact compliance outcomes and regulatory risk.
Licensees
Ensure your entire organisation operates in a consistent, defensible way.
You will develop practical capability to:
Delivery options
Format
Customisation
We focus on what is defensible, not just what is technically correct.
Our training is grounded in:
Many teams understand the rules. Fewer can apply them consistently across a business.
We show you what good looks like in practice:
Training designed to ensure staff can meet AFSL obligations and demonstrate competence under ASIC expectations.
Responsible Managers, advisers, compliance teams and operational staff within AFSL holders or applicants.
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There is no strict requirement, but they must demonstrate competence. Training supports this, particularly for AFSL applications.
Training is designed to support RG105 organisational competence and broader AFSL obligations.
Yes. Training is often used to refine judgment, address gaps and align teams with current expectations.
Yes. Training is commonly used to support capability evidence for Responsible Managers and broader team readiness.
Training can generally be structured to support CPD requirements depending on your needs.
The focus is on real-world application and defensibility, not just regulatory theory.
Regulatory risk is rarely isolated to one role. It sits across your entire organisation.
This training helps ensure your people can operate in a way that is consistent, aligned and defensible.
August 17, 2026
August 17, 2026
August 14, 2026
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.
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