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AFSL Adequacy of Resources Policy



This template is a complete Adequacy of Resources Policy that is easily customisable to your business. The document outlines policies and procedures for maintaining adequate resources (e.g. human resources) to engage in financial services, as an AFSL Holder. AFSL Holders must be able to demonstrate that they have appropriate processes in place to adequately monitor compliance with their AFSL obligations.

This template has been developed to meet the requirements as outlined in ASIC Regulatory Guide 104.

Available for both Retail and Wholesale Service Providers.

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Go back to AFSL Compliance Documents and Policies.

Additional information

Type of Licence

Retail Licence, Wholesale Licence