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AFSL B3 Proof Template – Arrangements for Managing Conflicts of Interest



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.

You may select from the dropdown bar the B3 Proof template which is most suitable for your business. We have tailored the B3 Proof template for the following business types:

  • Generic; and
  • Unregistered MIS.

Included with this B3 proof template is the Conflicts of Interests Register.

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.

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