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AFSL B3 Proof Template – Compliance Arrangements



This template will assist you in preparing the B3 Compliance Arrangements Proof required by your AFSL application which demonstrates to ASIC your organisational structure in respect of the implementation of compliance obligations.  This template includes wording to outline:

  • the seniority and capabilities of compliance management personnel;
  • the compliance measures to be implemented in the day to day business processes and procedures;
  • the frequency, extent and nature of each of the compliance measure and reporting to avoid any breaches; and
  • processes for managing client funds with further procedures for ensuring that compliance reporting is completed accurately.

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 outlined in Australian Standard AS3806 and ASIC Regulatory Guides 3 and 104.

All Sophie Grace Template Documents are available for instant download.

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