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AFSL B5 Proof Template – Human Resources Capacity Statement



The purpose of this B5 proof template is to ensure your business has adequate human resources available to service its AFS licence requirements with the ability to select and monitor any external service providers.

This template includes wording to outline:

  • the personal responsibility for such duties as well as details regarding the recruitment process and procedures; and
  • detailed information regarding the review process which ensures your business appropriately reviews the human resource needs leading to successful staff management.

This proof includes a description for:

  • your processes for recruiting appropriately skilled employees; and
  • your succession planning framework if a responsible manager is unexpectedly unavailable. Succession planning is particularly important for small businesses if you only have one or two responsible managers.

This template has been developed to meet the standards required and outlined in ASIC Regulatory Guide 3 and 205.

All Sophie Grace Template Documents are available for instant download.

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