This is a template C11 proof document which describes the arrangements, systems, and policies to ensure CSF intermediaries meet their obligations as gatekeepers in relation to CSF offers. The proof also includes a description of the platform and communication facility and how these meet the requirements of ASIC’s Regulatory Guide 262.
- procedures to appropriately identify offering companies;
- arrangements to ensure CSF offer documents are reviewed and meeting the legislative requirements;
- procedures to deal with any misleading or deceptive conduct on the part of the offering company;
- details of the platform and communication facility, including how CSF offer documents will be published and relevant risk warnings displayed;
- procedures for making, reviewing, suspending or closing a CSF offer;
- arrangements to deal with application money and withdrawal rights of investors;
- procedures to manage conflicts of interest.
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