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AFSL Compliance Plan Template



This template is a complete Compliance Plan that is easily customisable to your business. The document outlines policies and procedures you are required to implement to ensure compliance with all applicable laws, codes of practice and regulations.

This Compliance Plan has been developed in accordance with the principles outlined in Australian Standard AS ISO 19600:2015 and AFSL Holders general compliance obligations under Regulatory Guide 104.

Available for all licence types.

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Go back to AFSL Compliance Documents and Policies.