This Webinar will discuss ASIC’s licensing and professional registration experience over the last 12 months. It will be of relevance to participants looking for a better understanding of ASIC’s application assessment work with a focus on highlighting the key issues and trends that we are seeing in the industry.
We will also cover ASIC-initiated changes (e.g. the new SMSF auditor application portal) and statutory reforms including the new professional standards for financial advisers, crowd sourced funding intermediaries and eligible crowd funding offers, licensing exempt foreign financial services providers, fintech/regtech initiatives and industry funding levies.
Webinar Learning Outcomes:
Understanding ASIC’s licensing assessment work, and what may be around the corner for potential and current licensees.
Potential and current applicants for a licence or audit related registration and their advisers. Existing licensees interested in how ASIC handles licensing applications and assessment issues.
Warren Day, Executive Director – Assessment & Intelligence and Regional Commissioner – Victoria, ASIC.
Warren joined ASIC in 2003 as a Senior Lawyer in Enforcement and from 2007, was the Specialist Director, Investor and Consumer Protection. Warren has led investigations about consumer protection, credit and unlicensed conduct and illegal schemes. He was appointed Regional Commissioner for Victoria in October 2008 and in addition became the SEL of Assessment & Intelligence (and its predecessor group) in 2009. Before joining ASIC, Warren worked as a solicitor at Clayton Utz and as an auditor and analyst at the Australian Taxation Office.
Peng Lee is a Senior Manager in the Licensing Team having worked at in financial services and corporate finance areas at ASIC. Before that Peng was an in-house lawyer at ASX and commenced his legal career working in private practice in Adelaide and Sydney.
You will be provided with:
• PowerPoint presentation slide deck
• Supporting documentation
• Webinar Recording to view multiple times for up to 6 months
• An opportunity to ask questions to the presenter
What’s been happening and what lies ahead for licensee applicants?