AFSL Conflicts of Interest Policy Template (Including Conflicts of Interest Register and Gifts and Benefits Register)

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AFSL Conflicts of Interest Policy Template (Including Conflicts of Interest Register and Gifts and Benefits Register)

This template is a complete Conflicts of Interest Policy and Register that is easily customisable to your business. These templates together outline the policies and procedures for managing conflicts of interest between your business and your officers as well as employees and agents. These templates ensure that your Australian Financial Services Licence (AFSL) obligations are met. AFSL Holders have a statutory obligation to manage conflicts of interest under Section 912A(1) (AA) of the Corporations Act 2001 and as such are required to have documented procedures to identify and manage conflicts of interest.

These templates include all of the conflicts disclosure requirements which must be dealt with for some AFSL Holders in a Statement of Advice or Financial Services Guide. These templates have been developed to meet the conflicts of interest requirements under the Corporations Act as outlined in ASIC Regulatory Guides 104 and 181.

Also included with the Conflicts of Interest Policy and Register is the Gifts and Benefits Register. This template has been developed to help AFSL 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.

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