Upcoming Online Workshop
Design and Distribution Obligations (DDO)
Date: 10th August 2023
Time: 11:00 AM - 12:30 PM
Facilitator: Phil Haultain
Delivered via: Zoom
Price: $120 per ticket, per person (excluding GST)
*CPD Points Obtainable: 1.5
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

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.
CPS 230
Date: 7th September 2023
Time: 11:00 AM - 12:30 PM
Facilitator: Vito Giudice
Delivered via: Zoom
Price: $120 per ticket, per person (excluding GST)
*CPD Points Obtainable: 1.5
For the CPS 230 online session, the outline of the presentation includes the following:

  • Background to CPS 230
  • Operational Risk Management 
  • Business Continuity Planning
  • Third Party Risk Management
  • Implementing CPS 230 across your organisation
  • Key takeaways for APRA-regulated entities

This online session will provide organisations with an overview of the CPS 230 requirements and provide insights on how organisations will need to prepare to meet the requirements of CPS 230. 

Practical advice and tips along with key takeaways will be shared to help organisations embed CPS 230 throughout their business.
*Attendance may qualify for up to 1.5 hours CPD depending on your profession and state.
Certificates will be provided to all attendees.
Meet your presenters
Vito founded ASCENTIUM, providing governance, risk and compliance advice to leading organisations. He is a highly experienced governance, risk management and regulatory compliance professional and has held senior positions including Chief Risk Officer of an Australian insurer and Executive Director of a global Big 4 accounting and advisory firm.
Vito Giudice
Phil plays a leadership role in the delivery of services with our compliance services team, as well as bolstering our general legal expertise.

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.
Phil Haultain
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