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AFSL B4 Proof Template – Program for Monitoring, Supervision and Training of Representatives



This template is a B4 supporting proof which will assist your business to document processes for supervising and monitoring training of representatives. The intention of this template is to ensure that all representatives within the business comply with financial services law and are adequately supervised, trained and continue to be competent to provide financial services.

This proof includes a description of your processes for:

  • ensuring that authorised representatives will not act outside the scope of their authorisation;
  • ensuring that you will notify ASIC within 15 business days of any changes in relation to your authorised representatives; and
  • liaising with other AFS licensees in relation to authorised representatives who represent more than one licensee.

This template has been developed to meet the standards required in Section 914A of the Corporations Act and outlined in ASIC Regulatory Guide 3 and 146.

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