Description
This template is a complete Conflicts of Interest Policy and Register that is easily customisable to your business. The templates outline the policies and procedures for identifying, assessing and managing conflicts of interest that impact your financial services business. AFSL Holders have a statutory obligation to manage conflicts of interest under
Section 912A(1) (AA) of the Corporations Act 2001Â and are required to have documented procedures to meet this obligation. The policy template also includes conflict rules which can be tailored and applied to your business, a conflict notification template and disclosure guidelines.
These templates have been developed to meet the guidance from ASIC in relation to conflicts of interest in Regulatory GuidesÂ
104 and
181 and ASIC’s Info Sheet
292.
Also included with the Conflicts of Interest Policy and Register is the Gifts and Benefits Register. This template has been developed to help AFSLÂ Holders who deal with retail clients document any gifts and benefits which may be received and meet the conflicted remuneration requirements as outlined in
Regulatory Guide 246.
Available for general insurance and life insurance brokers.
All Sophie Grace Template Documents are available for instant download.
If you require a tax invoice or have any problems with your purchase, please contact us.
Go back to AFSL Compliance Documents and Policies.
