An Australian Financial Services Licence (AFSL) holder is required by law to implement an array of compliance measures. Sophie Grace understands the frustration associated with a “one size fits all” approach. We will design your procedures so that they are in line with ASIC’s expectations, fit for use and appropriate to the size, structure and activities of your financial services business.
Sophie Grace prepares all compliance procedural documentation to address the obligations imposed on AFSL holders by:
- The Corporations Act 2001 and Corporations Regulations 2001;
- ASIC Regulatory Guides;
- AFS Licence conditions;
- AML/CTF legislation; and
- Other financial services laws.
Sophie Grace can prepare the required compliance procedural documentation on the behalf of your entity prior to submission with ASIC. We will tailor the AFSL procedural documentation to your business as each AFSL holder will require a slightly different combination of procedures, depending on their AFSL authorisations.
Alternatively, you can purchase the below template documents from our shop to assist you in your application process. The following procedures are available at Sophie Grace for purchase separately or together at a discounted price.
Please click on each of the following policies and procedures to learn more:
- Advice Policy;
- Authorised Representatives Manual;
- Breaches and Incidents: Policy and Register;
- Compliance Calendar;
- Compliance Plan;
- Conflicts of Interest: Policy & Register and Gifts and Benefits Register;
- Document Retention Policy;
- Financial Requirements Checklist;
- Insider Trading Policy;
- Internal Dispute Resolution Policy and Complaints Register;
- Marketing Checklist;
- Outsourcing Policy and External Service Providers Register;
- Personal Dealing: Policy and Declaration;
- Representatives: Policy and Register and HR Register;
- Responsible Manager Policy;
- Risk Management Policy and Risk Assessment and Management Matrix; and
- Training: Policy and Register for employees.
Please note that not all the procedures listed will apply to each AFSL holder. If you would like to obtain further information or assistance, please contact Sophie Grace directly.