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AFSL Compliance Program – Retail Horse Racing Syndicates



An Australian Financial Services Licence (AFSL) holder is required to have policies and procedures in place to ensure it complies with its AFSL obligations. A documented Compliance Program that is tailored to an AFSL holder’s business needs to be implemented. In the event of a review by the Australian Securities and Investments Commission (ASIC), it is vital that AFSL holders have documented procedures in place.

The templates in the AFSL Compliance Program Package address the obligations imposed on AFSL holders by:

The Corporations Act and Corporations Regulations 2001;
ASIC Regulatory Guides; and
Individual AFSL conditions; and
Other Financial Services Laws.

The templates need to be tailored to the AFSL holder’s business to ensure it complies with regulatory requirements. These documents are available for businesses that deal with retail horse racing syndicates.

This Compliance Program Package includes the following:

Adequacy of Resources Policy;
Advice Policy;
AML/CTF Program (Generic);
Anti Hawking Policy;
Authorised Representatives Manual;
Breaches and Incidents: Policy & Register;
Business Continuity Plan;
Client Money Policy;
Compliance Calendar (Horse Racing Syndicates);
Complaint Management Policy;
Compliance Plan;
Conflicts of Interest: Policy & Register;
CPD Policy;
Design and Distribution Policy (Issuers and Distributors);
Dispute Resolution Policy and Complaints Register;
Document Retention Policy;
Financial Requirements Checklist;
Gifts and Benefits Register;
Insider Trading and Personal Dealing Policy;
Internal Dispute Resolution Policy & Complaints Register;
Marketing Checklist;
Outsourcing Policy and External Service Providers Register;
Privacy Policy;
Privacy Statement;
Representatives: Policy & Register;
Responsible Manager Policy;
Risk Management Policy & Risk Assessment and Management Matrix;
Training: Policy & Register

These Compliance Policy Documents are current at the date of purchase. Sophie Grace is not responsible for the updating of these templates. If you wish to update your current policies, please contact us directly.

If you have any problems with your purchase or have any questions, please contact us.

Additional information

Type of Retail Licence

Issuers and Distributors