AFSL Risk Management Policy Template



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AFSL Risk Management Policy Template

This template is a complete Risk Management Policy that is easily customisable to your business. The document outlines a risk management system which will provide your business with a systematic method of establishing the context of risk as well as identifying, analysing, evaluating, treating, monitoring and communicating risks associated with the provision of financial services.

This Risk Management Policy has been developed in accordance with the Australian and New Zealand Standard on Risk Management Systems (AS/NZS ISO 31000-2009) and AFSL Holders’ general compliance obligations outlined in ASIC Regulatory Guide 104.

Also included in this Template Package is the Risk Assessment and Management Matrix which will allow your firm to assess its’ overall risk. This Risk Assessment and Management Matrix complements the Risk Management Policy.

Available for both retail and wholesale licences.

All Sophie Grace Template Documents are available for instant download. Your invoice will be emailed directly to you within 2 business days of your purchase.

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Go back to AFSL Compliance Documents and Policies.