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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 both retail and wholesale clients.

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.

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