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Design and Distribution Obligations Online Workshop
August 10, 2023 @ 11:00 am - 12:30 pm$132.00
This workshop will draw on ASIC enforcement activity and legal actions in the two years since the DDO obligations came into effect, to assist organisations in ensuring they remain compliant with ASIC’s expectations. Among other things we will look at the lessons to be learnt from stop orders that have been issued.
We will also deliver a refresher on the DDO requirements and give practical advice on the development and review of TMDs.
The workshop is useful for financial services lending and other product managers, compliance staff and risk managers, and consumer loan product distributor managers. ASIC enforcement of the DDOs has so far applied to non-bank product issuers, but the lessons from these are equally applicable to the retail banking sector.
This Online Workshop will act as a DDO refresher, covering the following:
- Issuers and distributor
- Product design: requirements and monitoring
- Target Market Determinations: preparation and review
- ASIC expectations
- ASIC enforcement activity
Facilitator: Phil Haultain
Delivered via: Zoom
Price: $120 (excluding GST)
*CPD Points Obtainable: 1.5
About your presenter
Phil Haultain is GRC Solutions’ General Counsel
Phil joined GRC Solutions after a 4.5 year stint as the Volt Group General Counsel. He has over 35 years banking and finance experience having worked previously at State Bank of NSW, Commonwealth Bank, St George Bank, Challenger Ltd and National Australia Bank.
Phil has expertise in Labour and Employment Law, Corporate Law and Governance, and Banking Law. He has degrees in Law and Economics from the University of Sydney.
*Attendance may qualify for up to 1.5 hours CPD depending on your profession and state.
Certificates will be provided to all attendees.