Overview
This session provides a comprehensive guide to maintaining accurate and compliant records to meet regulatory and legal obligations.
The session explores the roles of key regulatory bodies, such as ASIC and the ATO, and highlights best practices for audit trails, file notes, and compliance checklists. Participants will learn how to implement structured record-keeping practices, ensure data security, and utilize technology for efficient documentation.
By focusing on accuracy, transparency, and proactive compliance, the session prepares professionals to meet industry standards, manage risk, and build trust with clients
Learning Outcomes
By completing this session, you will:
- Understand the legal and regulatory requirements for maintaining financial, client, and operational records, including the roles of ASIC, ATO, and OAIC.
- Learn best practices for creating and managing audit trails, file notes, and compliance checklists to ensure transparency, accuracy, and accountability.
- Gain insights into leveraging technology for secure and efficient digital record-keeping while addressing challenges such as data security and regulatory updates.
- Develop the ability to establish robust documentation policies that support compliance, risk management, and client trust.
Speaker Profile
Andre
Houang is a CPA and dedicated to continuous growth through both academic and
professional development, firmly based on an "innovation mindset". As
an experienced assurance professional with over ten years' industry experience
and an educator since 2012, Andre has worked at a range of corporate clients
and institutions including: Ernst &Young, Scentre, USQ, CSU, WSIJ and UNSW.
Andre believes that education is a lifelong journey, maintained by discipline
and commitment, but also enthusiasm and a belief in the positive power of knowledge
Accreditation
This activity meets the guidelines for qualifying CPD, and has been accredited for continuing professional development by the Financial Advice Association Australia.
- FAAA Accreditation No. 33211
- CPD Hours: 1.5 hours
- Knowledge Requirements: Regulatory Environment
- Legislated CPD Areas: Regulatory Compliance & Consumer Protection
- Learning rating: Foundation