This template is a complete Client Money Reconciliation and Reporting Policy that is easily customisable to your business, included is the Client Money Reconciliation Spreadsheet. Together, these templates outline the policies and procedures for managing your record-keeping, reconciliation and reporting obligations as an issuer of OTC Derivatives. These templates ensure that your Australian Financial Services Licence (AFSL) obligations are met. AFSL Holders have a statutory obligation to manage reconciliation and reporting under the Corporations Act 2001 and the ASIC Client Money Reporting Rules 2017 and as such are required to have documented procedures to ensure these requirements are met.
These templates include all of the record-keeping, reconciliation and reporting requirements that must be dealt with by issuers of OTC Derivatives under section 981B of the Corporations Act.
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