Webinar: Good Disclosure Principles 101

14-10-2020 12:00PM 14-10-2020 1:00PM
by Webinar, New South Wales, Australia

This webinar will be focussed on helping members to better understand ASIC’s Regulatory Guide(“RG”) 168 - the Good Disclosure Principles, new changes to fee disclosure and past performance.

In the current times, it is important to consider how your firm is communicating with your clients. Does your PDS’ genuinely offer them an understanding of your products, but more importantly the risks? Understanding RG 168 Is the starting point. 

ASIC has also reviewed RG97- disclosing fees and costs in PDS’ and periodic statements. This session will focus on the changes but primarily on PDS disclosure.

The webinar will also consider the use of past performance figures with the current market volatility and uncertainties for future returns for property funds.

Whilst legal advice will not be given, this is an opportunity for you to actively consider how your firm is addressing the challenges of post Hayne and the COVID times and your disclosure obligations. 

Hosted by: 

  • Carole Ferguson - Solicitor Risk, Compliance & Governance Consultant

Carole has over 25 years’ experience in financial services compliance and risk, and commercial law. She has worked with or for the Australian Taxation Office, Australian Securities and Investments Commission, St John of God Hospital, Governance Risk and Compliance Institute, PwC Sydney, the Professional Standards Council’s Secretariat and Colonial First State. Her specialties include legal and compliance management, audit and risk (financial services law), compliance and risk advice, company, charity and financial services law, and anti-money laundering and counter terrorist funding regulation.She has acted as a director, company secretary, compliance committee member and Audit and Risk Committee member and chair for listed and unlisted entities, charities, trustees and financial services operators including senior regulatory roles. Qualifications: UTS Bachelor of Law (Hons ), Butterworths Award for First Position in course, Legal Practice Management Certificate, Mt Eliza Business School Graduate Certificate of Management (Distinction)Awards and Memberships: Governance Risk and Compliance Professional of the Year, Life member Governance Risk and Compliance Institute, Member Australian Institute of Company Directors, Admitted Solicitor and Member Law Society of NSW, Member Compliance and Risk Executive Women.

  • Naomi Burley - GRCI Managing Director

Naomi is the current Managing Director of the GRC Institute. Based in Sydney Australia the GRCI seeks to be the preeminent association for compliance and risk management professionals in the Australasian region. GRCI was formed in 1996 by a group of professionals in roles undertaking compliance, a new role concept at the time. Over the following twenty years these dedicated individuals contributed to building a career pathway for themselves and their peers, which has evolved into an accreditation and education framework with options for those entering the profession and those desiring to increase their professional development.
Working with compliance and risk management professionals closely over the past fifteen years and participating in numerous industry discussion groups looking at issues and resources needing to be built, Naomi is passionate about the value of compliance and those undertaking the work to build and embed compliance frameworks in organisations. Part of her role with the GRC Institute is to advocate on behalf of members with their organisations, regulators and government to help them understand this inherent value and how to better achieve their desired strategic and operational outcomes by harnessing the talents, skills and knowledge of our GRCI members.
Passionate about the potential contribution of not for profits in the broader setting of society and commercial markets, Naomi has completed a Masters in Community Management and this, combined with her business operations background, means she aims to work toward building the GRC Institute for a financial stable future while consistently delivering member value, adopting agile and technological solutions to delivering services, tools, events and professional development options to GRCI members.