Dispute Resolution
This virtual workshop, facilitated by Lisa-Marie McKechnie, Partner at Piper Alderman and Kathy Neilson, Partner at Piper Alderman, will provide an overview of the internal and external dispute resolution requirements and ASIC’s expectations in relation to best practice complaints handling. It will cover the standards and requirements of a dispute resolution scheme, what constitutes a “complaint”, response timeframes and content and management of systemic issues. The takeaways from ASIC Report 751, ASIC’s most recent surveillance in relation to complaints handling, will be discussed, as well as ASIC’s recent civil penalty and enforcement action in relation to failure to comply with IDR requirements. External dispute resolution under the Australian Financial Complaints Authority including its jurisdiction and current complaints trends will also be covered.
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Key topics to be discussed include:
- Overview of the internal and external dispute resolution requirements.
- ASIC’s expectations in relation to best practice complaints handling.
- What constitutes a “complaint”.
- Complaint response timeframes.
- ASIC’s recent surveillance, civil penalty and enforcement action in relation to complaints handling.
- External dispute resolution and current complaints trends.
Who should attend?
- Complaints Managers
- Complaints handling staff
- Trustees and directors
- CEOs, and senior management staff
- Governance, compliance and risk professionals
- Service providers
- Those who support the board/trustee function.
Presenters
Lisa-Marie McKechnie
Partner, Financial Services & FinTech, Piper Alderman
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Lisa-Marie is a leading financial services lawyer with extensive expertise in a broad range of matters impacting financial service providers across Australia and Asia Pacific. Lisa-Marie advises a wide range of financial services clients on all aspects of their operations and has specific experience assisting them with the highly technical aspects of their prudential regulation including licensing, compensation arrangements, breach reporting, data privacy, outsourcing, anti-money laundering and counter terrorism financing.
Over more than two decades, Lisa-Marie has also assisted a wide range financial services clients with the complex aspects of mergers and acquisitions, insurance and investments, contracting and outsourcing including assignment and novation.
Lisa-Marie has assisted superannuation funds manage a key stakeholder in their business, its life insurer, by advising on a diverse range of matters including transition to the new design and distribution and breach reporting regimes and with complex renewal, premium adjustment and reinsurance negotiations.
Known for her strong industry profile, Lisa-Marie is regularly called upon by industry bodies the Association of Superannuation Funds of Australia (ASFA) and the Australian Institute of Superannuation Trustees (AIST) to present at conferences and via in-person and on-line training sessions. Lisa-Marie was also most recently a Director on the Board of the Financial Services Accountant’s Association (FSAA) for 3 years.
Kathy Neilson
Partner, Financial Services & FinTech, Piper Alderman
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Kathy is a highly experienced financial services lawyer having spent over 12 years in private legal practice, multi-disciplinary legal practice and at the Australian Securities and Investments Commission (ASIC).
As a leading financial services lawyer, Kathy regularly advises clients on regulatory requirements and product disclosure requirements including in relation to compliance with all aspects of the Corporations Act 2001 (Cth) and APRA prudential standards. She also advises in relation to mergers and acquisitions and associated disclosure requirements. Kathy also provides advice in relation to licensing, corporate governance and ASIC and APRA applications, investigations and current regulator priorities. In addition, she has expertise in relation to privacy and anti-money laundering and counter-terrorism financing (AML/CTF) obligations, including conducting independent reviews of AML/CTF programs.
While at ASIC, Kathy led the review and redrafting of the Regulatory Guide 97 fees and costs disclosure regime for managed investment schemes and superannuation leading her to develop an exclusive expertise in this area.
Kathy also presents regularly with The Association of Superannuation Funds of Australia (ASFA) to superannuation trustees on topical regulatory issues and contributes regularly to ASFA’s continuing professional development publications on topics such as cloud outsourcing, anti-money laundering, audit requirements and fees and costs disclosure.
Drawing on her diverse experience, Kathy can offer unique insights and knowledge to add value to her clients.
How you’ll learn
One-hour online virtual workshop.
ASFA’s virtual workshops are a live and interactive learning experience. Participants can engage with industry-leading presenters who are experts in their field, together with their peers, just like they would at an ASFA face-to-face workshop. It is a unique opportunity to workshop ideas and concepts in a collaborative online environment facilitated by experts.
Virtual workshops are limited to 30 participants to allow for discussion, and to ensure that participants have ample opportunity to ask presenters questions.
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Pricing
Public virtual workshop
| Type | Inc. GST |
|---|---|
| Member | $195 |
| Non-member | $250 |
CPD Points
1 Continuing Professional Development (CPD) points for members of ASFA’s Professional Accreditation Program.
For all enquiries, contact ASFA Learning.
