This template will assist you in preparing a B3 proof document which outlines to ASIC as part of your AFSL application how your business will manage conflicts of interest. This template includes wording to outline:
- the structural arrangements in managing, assessing and evaluating conflicts;
- procedures for controlling, avoiding and disclosing conflicts of interest for your business;
- procedures for identifying, and dealing with, instances of noncompliance with your conflicts management arrangements;
- procedures for ensuring that the quality of your services is not significantly compromised by the presence of conflicts of interest; and
- processes dealing with issues of non-compliance, quality of service and individual responsibility within conflict management arrangements.
This proof includes a table describing your conflicts management arrangements which must include details of:
- any identified conflicts of interest;
- your arrangements for managing these conflicts; and
- your procedures for monitoring your arrangements.
Included with this B3 proof template is the Conflicts of Interests Register.
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