AFSL B3 Proof – Compliance Arrangements MDA Services

This template, along with other B3 templates, will assist you in preparing the B3 Compliance Arrangements Proof for MDA Services required for your AFSL application to demonstrate to ASIC your organisational structure in respect of the implementation of compliance obligations.

This proof includes a table describing your compliance arrangements in the following format:

• identification of Fund and MDA assets;
• separation of Fund and MDA assets;
• calculation of Fund unit price;
• valuations of investments; and
• collection of income, identification and recording of actions.

Included along with this B3 Proof is the AFSL Compliance Calendar template. This template provides a framework to ensure your business meets all compliance obligations throughout the year. The Compliance Calendar ensures obligations are met by the appropriate people, at the appropriate time throughout the year.

These templates have been developed to meet the compliance arrangement standards required and outlined in Australian Standard AS3806-2000 and ASIC Regulatory Guides 3 and 104.

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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