AFSL Templates

See below listing of Compact's AFSL compliance manual and standalone procedures, followed by a list of combined AFSL/ACL documents.
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$3,900.00

inc GST

AFS Licensee Compliance Manual

Download this Australian Financial Services Licensee Compliance Manual, which is benchmarked against the financial services laws, and ASIC regulatory guides.

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$250.00

inc GST

AFSL Compliance Arrangements

This procedure* is an umbrella "compliance plan" supporting the other procedures in the manual.  It describes the necessary compliance personnel and committees, and their roles.

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$250.00

inc GST

Notifying ASIC of Breaches and Events

This procedure* sets out how to comply with breach reporting obligations under s912D of the Corporations Act.

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$150.00

inc GST

AFSL Outsourcing

This procedure* includes checklists and registers designed to assist you comply with ASIC's RG 104 (Licensing: Meeting the general obligations) when engaging external service providers.

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$250.00

inc GST

AFSL Promotional Material

This procedure* includes a checklist designed to assist you comply with ASIC's RG 104 (Licensing: Meeting the general obligations). Our detailed checklist helps ensure your advertising is not misleading, and complies with ASIC requirements set out in RG 234 (Advertising financial products and advice services including credit: Good practice guidance).

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$450.00

inc GST

AFSL Financial Resources, Records and Compensation

This procedure*, ** is designed to assist you comply with the conditions on your licence in relation to financial requirements, audit and professional indemnity insurance. It assists you to comply with ASIC's RG 104 (Licensing: Meeting the general obligations), and ASIC's RG 166 (Financial requirements). 

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$950.00

inc GST

AFSL Handling Client Money

This procedure*,** is essential if you hold client monies. It assists in compliance with ASIC's RG 104 (Licensing: Meeting the general obligations), and must be tailored with assistance from your accountant.

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$250.00

inc GST

AFSL Dispute Resolution

If you provide financial services to retail clients, you must have internal and external dispute resolution procedures in place. These are provided in this procedure*, which includes a template complaints register.

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$450.00

inc GST

AFSL Appointing Representatives

This procedure* is designed to assist you comply with RG 104 (Licensing: Meeting the general obligations), and includes template checklists and registers.

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$250.00

inc GST

AFSL Training

This procedure* includes a pro-forma training register and development plan for use by your representatives, and is designed to assist in compliance, including ASIC's RG 146 (Licensing: Training of financial product advisers) and ASIC's RG 104 (Licensing: Meeting the general obligations).

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$450.00

inc GST

AFSL Appointing a Responsible Manager and/or Key Person

This procedure* assists in compliance with ASIC's RG 104 (Licensing: Meeting the general obligations) and ASIC's RG 105 (Licensing: Organisational competence); as well as the key person licence condition.

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$250.00

inc GST

AFSL Monitoring and Supervising Representatives

This procedure* is designed to assist you comply with ASIC's RG 104 (Licensing: Meeting the general obligations). It includes pro-forma arrangements to monitor and supervise representatives.

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$750.00

inc GST

AFSL Risk Management

This procedure* sets out how to conduct a risk management assessment of the licensee's business.

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$150.00

inc GST

AFSL IT Resources

This procedure* helps you comply with ASIC's RG 104 (Licensing: Meeting the general obligations) in relation to IT requirements, including security, disaster recovery and service levels.

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$150.00

inc GST

AFSL Human Resources

This procedure* helps you comply with ASIC's RG 104 (Licensing: Meeting the general obligations) in relation to HR matters.

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$250.00

inc GST

AFSL Conflicts of Interest

All licensees are required to have effective measures in place to manage conflicts of interest. This procedure* is designed to assist you comply with ASIC's RG 181 (Licensing: Managing conflicts of interest).

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$650.00

inc GST

AFSL Credit Activities and Credit Referrals

If you refer clients to credit providers, or recommend credit products, this procedure* helps you comply with the consumer credit laws.

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$450.00

inc GST

AFSL Board, Employee and Associates Trading Policy

This procedure* is designed to assist listed companies in compliance with ASIC's RG 181 (Licensing: Managing conflicts of interest), as well as comply with the requirements of the listing rules.

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$150.00

inc GST

AFSL Research Policy

This procedure* is designed to assist in compliance with ASIC's RG 175 (Licensing: Financial Product Advisers - Conduct and Disclosure) when licensees provide research in relation to a financial product.

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$450.00

inc GST

AFSL Client Review and Remediation

This procedure* covers the review and remediation procedure that should be undertaken when a systemic issue has been identified, and how to determine the review and remediation program that should be undertaken, as well as other related factors that must be considered in the process.

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$150.00

inc GST

AFSL Compliance Diary

This procedure* is a practical tool that ties together all the annual and quarterly obligations of the licensee into a 4-page checklist.

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$150.00

inc GST

AFSL Compliance Committee Charter

This procedure* provides a flexible template for your compliance committee to structure meetings and the topics to be covered. The charter is designed to complement the overall compliance arrangements of your business.

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$950.00

inc GST

AFSL Cyber Resilience Policy

This procedure* addresses particular cyber resilience requirements of AFS licence holders using guidance issued by ASIC and information security standard ISO/IEC 2001.

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*This procedure(s) will not comply with the regulatory requirements if it is not correctly tailored to your particular business and kept up-to-date.  Compact - Compliance & Training is not responsible for the tailoring and implementation or upkeep of each procedure once purchased by the licensee.  Compact - Compliance & Training can assist you tailor these documents.  The first step towards keeping your procedure(s) up-to-date is to subscribe to our tailored monthly regulatory update service, T-REX.  The content of each procedure will vary depending on legislative and policy changes and updates, as well as the nature of the licensee.  This procedure(s) is current on the date of purchase.  Whilst every care is taken in their preparation, Compact - Compliance & Training makes no representation that these documents are fit for your particular purpose, and accepts no responsibility for any loss or damage or cost incurred as a result of their use.  Compact - Compliance & Training takes no responsibility for formatting or other errors resulting from software errors, defects, incompatibility or viruses.

**This procedure is only organisational.  It does not address financial reporting and financial auditing requirements.

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