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Manual
Running an AFSL: Compliance Manual - AFSL
Last updated - 16 Jan 2026
| Document | Version | Type | Date |
|---|---|---|---|
| AFSL Compliance Policies - AFSL | - | Compilation | 16 Jan 2026 |
| Running an AFSL – Tools - AFSL | - | Compilation | 27 Nov 2025 |
| Appointing a Representative Checklist (Financial Adviser) - AFSL | 2.3 | Tool | 25 Jun 2025 |
| Appointing a Representative Checklist (Non Financial Adviser) - AFSL | 2.1 | Tool | 16 Oct 2024 |
| Breaches and Incidents Register - AFSL | 8.0 | Register | 27 Aug 2025 |
| Complaints Register - AFSL | 3.0 | Register | 09 Dec 2022 |
| Guide to IDR Reporting - AFSL | 2.0 | Guide | 14 Nov 2023 |
| Conflicts of Interest Register - AFSL | 2.0 | Register | 14 Dec 2022 |
| CPD Plan and Register (Excel Version) - AFSL | 7.0 | Register | 09 May 2023 |
| CPD Plan and Register (Word Version) - AFSL | 3.0 | Register | 09 May 2023 |
| General Advice Review Template - AFSL | 2.0 | Tool | 08 Sep 2022 |
| Logbook Hours - AFSL | 1.0 | Tool | 15 Jun 2022 |
| Monitoring and Supervision Register - AFSL | 2.0 | Register | 13 Nov 2020 |
| Offboarding a Representative Checklist - AFSL | 1.0 | Tool | 27 Apr 2023 |
| Personal Advice File Review Template - AFSL | 2.0 | Tool | 08 Sep 2022 |
| Provisional Relevant Provider Professional Year Plan Template - AFSL | 2.1 | Tool | 25 Sep 2024 |
| Representative Register - AFSL | 1.0 | Register | 01 Jan 2018 |
| Representative Review Template - AFSL | 2.0 | Tool | 08 Sep 2022 |
| Responsible Manager Register - AFSL | 1.1 | Register | 14 Oct 2025 |
| Risk Register - AFSL | 2.3 | Register | 08 Oct 2025 |
| Soft Dollar Register - AFSL | 2.0 | Register | 15 Jun 2023 |
| Target Market Determination - Payments - NCP Facilities - Forward Foreign Exchange Contracts - AFSL | 2.0 | Tool | 07 Oct 2021 |
| Target Market Determination - Payments - NCP Facilities - Spot Foreign Exchange Contracts - AFSL | 2.0 | Tool | 07 Oct 2021 |
| Target Market Determination - CFD Provider - AFSL | 3.0 | Tool | 19 Oct 2023 |
| Target Market Determination Checklist - Product Issuer - AFSL | 1.0 | Tool | 19 Oct 2023 |
| Quick Guide - What Tool to Use When - AFSL | 1.1 | Guide | 24 Aug 2023 |
Manual
Running an AFSL (W'sale only): Compliance Manual - Wholesale
Last updated - 16 Jan 2026
| Document | Version | Type | Date |
|---|---|---|---|
| AFSL Compliance Policies - Wholesale | - | Compilation | 16 Jan 2026 |
| Running an AFSL – Tools - Wholesale | - | Compilation | 28 Nov 2025 |
| Appointing a Representative Checklist - Wholesale | 1.1 | Tool | 22 Oct 2025 |
| Breaches and Incidents Register - Wholesale | 3.0 | Register | 04 Sep 2025 |
| Complaints Register - Wholesale | 1.0 | Register | 31 Oct 2022 |
| Conflicts of Interest Register - Wholesale | 2.0 | Register | 19 May 2023 |
| CPD Plan and Register (Excel Version) - Wholesale | 1.0 | Register | 31 Oct 2022 |
| CPD Plan and Register (Word Version) - Wholesale | 1.0 | Register | 31 Oct 2022 |
| General Advice Review Template - Wholesale | 1.0 | Tool | 31 Oct 2022 |
| Monitoring and Supervision Register - Wholesale | 1.0 | Register | 31 Oct 2022 |
| Personal Advice File Review Template - Wholesale | 1.0 | Tool | 31 Oct 2022 |
| Representative Review Template - Wholesale | 1.0 | Tool | 31 Oct 2022 |
| Risk Register - Wholesale | 2.1 | Register | 09 Oct 2025 |
Manual
Running an ACL: Compliance Manual - ACL
Last updated - 27 Nov 2025
| Document | Version | Type | Date |
|---|---|---|---|
| ACL Compliance Policies - ACL | - | Compilation | 27 Nov 2025 |
| Running an ACL – Tools - ACL | - | Compilation | 01 Sep 2025 |
| Appointing a Representative Checklist (Mortgage Broker) - ACL | 1.1 | Tool | 24 Feb 2025 |
| Appointing a Representative Checklist (Non Mortgage Broker) - ACL | 3.0 | Tool | 29 Sep 2021 |
| Breaches and Incidents Register - ACL | 4.0 | Register | 27 Aug 2025 |
| Complaints Register - ACL | 3.0 | Register | 13 Dec 2022 |
| Conflicts of Interest Register - ACL | 2.0 | Register | 18 May 2023 |
| CPD Register - ACL | 1.0 | Register | 29 Jan 2021 |
| Guide to IDR Reporting - ACL | 2.0 | Guide | 14 Nov 2023 |
| Target Market Determination – Rewards Program Credit Card - ACL | 1.0 | Tool | 05 Oct 2021 |
| Enforcement Registers - ACL | 2.0 | Register | 27 Aug 2022 |
| Monitoring and Supervision Register - ACL | 2.0 | Register | 20 Dec 2022 |
| Credit Assessment File Review Template - ACL | 2.0 | Tool | 20 Dec 2022 |
| Representative Register Template - ACL | 1.0 | Register | 11 Nov 2020 |
| Representative Review Template - ACL | 2.0 | Tool | 20 Dec 2022 |
| Quick Guide - What Tool to Use When - ACL | 1.0 | Guide | 05 Jan 2023 |
| Risk Register - ACL | 2.2 | Register | 10 Oct 2025 |
Manual
Providing Advice: Compliance Manual - AFSL, Wholesale
Last updated - 20 Oct 2025
| Document | Version | Type | Date |
|---|---|---|---|
| Providing Advice Compliance Manual Part A (Key Obligations) - AFSL | - | Compilation | 10 Oct 2025 |
| Providing Advice Compliance Manual Part B (Specific Advice Areas) - AFSL | - | Compilation | 08 Jul 2025 |
| Providing Advice – Tools - AFSL | - | Compilation | 20 Oct 2025 |
| Client Fact Sheet – Contributing To Super – Your Options - AFSL | 4.0 | Tool | 17 Nov 2022 |
| Client Fact Sheet – Death Benefits in Super – Your Options - AFSL | 1.0 | Tool | 07 Dec 2020 |
| Client Fact Sheet – Retirement Income – Your Options - AFSL | 3.0 | Tool | 17 Nov 2022 |
| Fact Find Template - AFSL, Wholesale | 2.1 | Tool | 19 Sep 2024 |
| Financial Services Guide (FSG): Adviser Profile - AFSL | 3.0 | Tool | 17 Sep 2021 |
| Financial Services Guide (FSG): Authorised Representative (AR) and Corporate Authorised Representative (CAR) Version - AFSL | 5.0 | Tool | 17 Sep 2021 |
| Financial Services Guide (FSG): Licensee Version - AFSL | 5.0 | Tool | 17 Sep 2021 |
| Financial Services Guide (FSG): Managed Discretionary Account - AFSL | 1.0 | Tool | 09 Jun 2023 |
| Financial Services Guide (FSG): Provisional Adviser Profile - AFSL | 1.0 | Tool | 17 Sep 2021 |
| FSG Checklist Template - AFSL | 3.1 | Tool | 08 Oct 2024 |
| First Interview Letter Template - AFSL, Wholesale | 2.0 | Tool | 08 Oct 2020 |
| Ongoing Advice - Old Regime Dates Reference Guide - AFSL | 1.1 | Guide | 29 Jan 2025 |
| ROA Template - AFSL | 3.0 | Tool | 07 Dec 2022 |
| Sample Disclaimers and Warnings - AFSL, Wholesale | 2.0 | Tool | 02 Apr 2020 |
| Statement of Advice - AFSL | 1.1 | Tool | 19 Sep 2024 |
| Statement of Advice (IBR) - AFSL | 1.1 | Tool | 06 Feb 2025 |