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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.

This template has been developed to meet the standards required in Section 912A of the Corporations Act and outlined in ASIC Regulatory Guides 3 and 181.

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.

If you have any problems with your purchase or have any questions, please contact us.

Go back to AFSL Applications.