At Alexis, we have presented at industry conferences as subject matter experts in compliance. If you have particular areas you would like training on for you or your representatives, we can design the framework for you.
At Alexis, we can provide the Directors of your business with tailored in-house training sessions to ensure they are aware of the ongoing requirements and obligations of their position. Topics may include: Conflicts of Interest, Directors Duties, AFS Licensing Requirements, Complaints, Breach identification & Remediation.
Professional standard requirements for financial advisers are constantly changing. At Alexis, we train advisers to ensure they are aware and up to date with all standards and requirements.
We provide adviser training through professional development days. Topics may include: Satisfying Best Interest duty, Preparing an SOA, Managing complaints, record keeping obligations.
Responsible Managers (RM’s) are constantly under the scope, so it has never been more essential to stay on top of changes in the industry and understand the impact of regulatory developments.
Alexis Compliance provides RM’s with tailored training to ensure they have the requisite knowledge, skills and experience in accordance with RG 105 and RG104. We can also assist you in assessing whether you need to nominate a new Responsible Manager.