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Appointments and Terminations
Appointments - ACL
Last updated - 31 Oct 2025
| Document | Version | Type | Date |
|---|---|---|---|
| Appointing a Responsible Manager and/or Key Person Policy - ACL | 1.0 | Policy | 15 Jan 2021 |
| Representatives: Appointing, Reference Checking and Reference Giving Policy - ACL | 3.1 | Policy | 24 Feb 2025 |
| Representative Register Template - ACL | 1.0 | Register | 11 Nov 2020 |
| 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 |
| Appointing a Responsible Manager Checklist Template - ACL | 1.0 | Tool | 11 Nov 2020 |
| Appointment by Authoriser Form - ACL | 1.0 | Tool | 11 Nov 2020 |
| Authorisation - Authoriser Form - ACL | 1.0 | Tool | 11 Nov 2020 |
| Consent Form (Mortgage Broker) - ACL | 1.1 | Tool | 24 Feb 2025 |
| Credit Representative Form - ACL | 1.0 | Tool | 11 Nov 2020 |
| Employee of a Licensee Form - ACL | 1.0 | Tool | 11 Nov 2020 |
| Reference Request (Mortgage Broker) - ACL | 1.1 | Tool | 24 Feb 2025 |
| Responsible Manager Register - ACL | 1.0 | Register | 31 Oct 2025 |
Appointments and Terminations
Appointments - Wholesale
Last updated - 22 Oct 2025
| Document | Version | Type | Date |
|---|---|---|---|
| Appointing a Responsible Manager and/or Key Person Policy - Wholesale | 1.1 | Policy | 22 Oct 2025 |
| Representatives: Appointing, Reference Checking and Reference Giving Policy - Wholesale | 1.2 | Policy | 22 Oct 2025 |
| Appointing a Representative Checklist - Wholesale | 1.1 | Tool | 22 Oct 2025 |
| Appointing a Responsible Manager Checklist - Wholesale | 1.1 | Tool | 22 Oct 2025 |
| Responsible Manager Register - Wholesale | 1.0 | Register | 22 Oct 2025 |
Risk Management
Risk Management - ACL
Last updated - 10 Oct 2025
| Document | Version | Type | Date |
|---|---|---|---|
| Business Continuity Planning Policy - ACL | 2.0 | Policy | 17 Nov 2023 |
| Risk Management Policy - ACL | 3.0 | Policy | 17 Nov 2023 |
| Business Continuity Plan Template - ACL | 2.0 | Tool | 17 Nov 2023 |
| Risk Appetite Statement Template - ACL | 1.0 | Tool | 11 Apr 2023 |
| Risk Register - ACL | 2.2 | Register | 10 Oct 2025 |
Risk Management
Risk Management - Wholesale
Last updated - 09 Oct 2025
| Document | Version | Type | Date |
|---|---|---|---|
| Business Continuity Planning Policy - Wholesale | 2.0 | Policy | 09 Oct 2025 |
| Risk Management Policy - Wholesale | 3.0 | Policy | 09 Oct 2025 |
| Business Continuity Plan Template - Wholesale | 2.0 | Tool | 09 Oct 2025 |
| Risk Appetite Statement Template - Wholesale | 1.0 | Tool | 28 Jun 2023 |
| Risk Register - Wholesale | 2.1 | Register | 09 Oct 2025 |
Risk Management
Risk Management - AFSL
Last updated - 08 Oct 2025
| Document | Version | Type | Date |
|---|---|---|---|
| Business Continuity Planning Policy - AFSL | 1.2 | Policy | 28 Aug 2024 |
| Risk Management Policy - AFSL | 2.1 | Policy | 06 Oct 2023 |
| Risk Appetite Statement Template - AFSL | 1.0 | Tool | 12 Jan 2023 |
| Business Continuity Plan Template - AFSL | 1.1 | Tool | 06 Oct 2023 |
| Risk Register - AFSL | 2.3 | Register | 08 Oct 2025 |
Reporting Obligations (Breach Reporting)
Reporting Obligations - Wholesale
Last updated - 30 Sep 2025
| Document | Version | Type | Date |
|---|---|---|---|
| Breach (Reportable Situation) and Events Reporting Policy - Wholesale | 3.1 | Policy | 30 Sep 2025 |
| Breaches and Incidents Register - Wholesale | 3.0 | Register | 04 Sep 2025 |
| Misleading and Deceptive Conduct Template - Wholesale | 2.0 | Tool | 04 Sep 2025 |
| Breach Reporting RG 78 (Combined AFSL-ACL) Mindmap - ACL, AFSL, Wholesale | 1.2 | Mindmap | 06 Aug 2025 |
Monitoring and Supervision
Monitoring and Supervision - Wholesale
Last updated - 29 Sep 2025
| Document | Version | Type | Date |
|---|---|---|---|
| Client Remediation Policy - Wholesale | 2.0 | Policy | 29 Jun 2023 |
| Monitoring and Supervising Representatives Policy - Wholesale | 2.0 | Policy | 29 Sep 2025 |
| Checklist for Monitoring a Corporate Authorised Representative - Wholesale | 1.0 | Tool | 31 Oct 2022 |
| Client Remediation Plan Template - Wholesale | 2.0 | Tool | 29 Jun 2023 |
| General Advice Review Template - Wholesale | 1.0 | Tool | 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 |
| Revocation Form – Authorised Representative - Wholesale | 1.0 | Tool | 31 Oct 2022 |
| Revocation Form – Employee - Wholesale | 1.0 | Tool | 31 Oct 2022 |
| Withdrawal of Authoriser Consent - Wholesale | 1.0 | Tool | 31 Oct 2022 |
| Monitoring and Supervision Register - Wholesale | 1.0 | Register | 31 Oct 2022 |
Training
Training - Wholesale
Last updated - 29 Sep 2025
| Document | Version | Type | Date |
|---|---|---|---|
| Training Policy - Wholesale | 2.0 | Policy | 29 Sep 2025 |
| 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 |
Handling Client Money
Handling Client Money - Wholesale
Last updated - 04 Sep 2025
| Document | Version | Type | Date |
|---|---|---|---|
| Handling Client Money Policy - Wholesale | 2.0 | Policy | 04 Sep 2025 |
| Annual Auditor's Report Template - Wholesale | 1.0 | Tool | 31 Oct 2022 |
| Annual Declaration Template - Wholesale | 1.0 | Tool | 31 Oct 2022 |
| Monthly Declaration Template - Wholesale | 1.0 | Tool | 31 Oct 2022 |
| Reconciliation Discrepancy Reporting to ASIC Template - Wholesale | 1.0 | Tool | 31 Oct 2022 |
Reporting Obligations (Breach Reporting)
Reporting Obligations - AFSL
Last updated - 27 Aug 2025
| Document | Version | Type | Date |
|---|---|---|---|
| Breach (Reportable Situation) and Events Reporting Policy - AFSL | 6.0 | Policy | 27 Aug 2025 |
| Breaches and Incidents Register - AFSL | 8.0 | Register | 27 Aug 2025 |
| Misleading and Deceptive Conduct Template - AFSL | 3.0 | Tool | 27 Aug 2025 |
| Breach Reporting RG 78 (Combined AFSL-ACL) Mindmap - ACL, AFSL, Wholesale | 1.2 | Mindmap | 06 Aug 2025 |
Reporting Obligations (Breach Reporting)
Reporting Obligations - ACL
Last updated - 27 Aug 2025
| Document | Version | Type | Date |
|---|---|---|---|
| Breach (Reportable Situation) Reporting Policy - ACL | 5.0 | Policy | 27 Aug 2025 |
| Breaches and Incidents Register - ACL | 4.0 | Register | 27 Aug 2025 |
| Misleading and Deceptive Conduct Template - ACL | 3.0 | Tool | 27 Aug 2025 |
| Breach Reporting RG 78 (Combined AFSL-ACL) Mindmap - ACL, AFSL, Wholesale | 1.2 | Mindmap | 06 Aug 2025 |
Outsourcing
Outsourcing - ACL
Last updated - 16 Jul 2025
| Document | Version | Type | Date |
|---|---|---|---|
| Outsourcing Policy - ACL | 3.1 | Policy | 24 Feb 2025 |
| Engagement Checklist for Outsourced Providers - ACL | 3.1 | Tool | 24 Feb 2025 |
| List of Existing Service Providers - ACL | 2.0 | Tool | 13 Oct 2021 |
| Service Provider Review Checklist - ACL | 2.0 | Tool | 13 Oct 2021 |
Complaints
Dispute Resolution (Complaints) - ACL
Last updated - 06 Jun 2025
| Document | Version | Type | Date |
|---|---|---|---|
| Dispute Resolution Policy - ACL | 4.2 | Policy | 06 Jun 2025 |
| Complaints Register - ACL | 3.0 | Register | 13 Dec 2022 |
| Public Complaints Policy - ACL | 2.0 | Tool | 22 Oct 2021 |
| IDR Delay Notification Template - ACL | 1.0 | Tool | 06 Jun 2025 |
| IDR Response Template - ACL | 1.0 | Policy | 14 Nov 2023 |
| Guide to IDR Reporting - ACL | 2.0 | Guide | 14 Nov 2023 |
Complaints
Complaints - AFSL
Last updated - 06 Jun 2025
| Document | Version | Type | Date |
|---|---|---|---|
| Dispute Resolution Policy - AFSL | 4.3 | Policy | 06 Jun 2025 |
| Complaints Register - AFSL | 3.0 | Register | 09 Dec 2022 |
| Public Complaints Policy - AFSL | 2.0 | Tool | 22 Oct 2021 |
| IDR Delay Notification Template - AFSL | 1.0 | Tool | 07 Aug 2024 |
| IDR Response Template - AFSL | 1.0 | Tool | 14 Nov 2023 |
| Guide to IDR Reporting - AFSL | 2.0 | Guide | 14 Nov 2023 |
Conflicts of Interest
Conflicted Remuneration - AFSL
Last updated - 07 May 2025
| Document | Version | Type | Date |
|---|---|---|---|
| Conflicted Remuneration and Soft Dollar Policy - AFSL | 3.0 | Policy | 07 May 2025 |
| Conflicted and Banned Remuneration – Information for Authorised Representatives - AFSL | 3.0 | Tool | 07 May 2025 |
| Conflicted and Banned Remuneration – Information for Employee Representatives - AFSL | 3.0 | Tool | 07 May 2025 |
| Examples of Conflicted Remuneration - AFSL | 2.0 | Tool | 07 May 2025 |
| Examples of Exclusions from the Ban on Conflicted Remuneration - AFSL | 3.0 | Tool | 07 May 2025 |
| Insurance Commission Consent Form - AFSL | 1.0 | Tool | 07 May 2025 |
| Soft Dollar Register - AFSL | 2.0 | Register | 15 Jun 2023 |
Training
Training - AFSL
Last updated - 05 Dec 2024
| Document | Version | Type | Date |
|---|---|---|---|
| Provisional Relevant Provider Policy - AFSL | 3.0 | Policy | 25 Sep 2024 |
| Training Policy - AFSL | 4.1 | Policy | 06 Oct 2023 |
| Completion Certificate - AFSL | 1.0 | Tool | 15 Jun 2022 |
| Final Completion Certificate - AFSL | 2.0 | Tool | 25 Sep 2024 |
| Logbook Hours - AFSL | 1.0 | Tool | 15 Jun 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 |
| Provisional Relevant Provider Professional Year Plan Template - AFSL | 2.1 | Tool | 25 Sep 2024 |
| CPD Policy - AFSL | 4.1 | Tool | 05 Dec 2024 |
Promotional Material, Marketing and Anti-Hawking
Promotional Material, Marketing and Anti-Hawking - AFSL
Last updated - 08 Aug 2024
| Document | Version | Type | Date |
|---|---|---|---|
| Promotional Material, Marketing and Anti-Hawking Policy - AFSL | 8.1 | Policy | 08 Aug 2024 |
| Promotional Material Checklist - AFSL | 5.1 | Tool | 20 Jul 2023 |
Conflicts of Interest
Personal Trading (Dealing) - ACL, AFSL, Wholesale
Last updated - 07 Feb 2024
| Document | Version | Type | Date |
|---|---|---|---|
| Personal Trading (Dealing) Policy - AFSL, Wholesale | 1.1 | Policy | 07 Feb 2024 |
Training
Training - ACL
Last updated - 17 Nov 2023
| Document | Version | Type | Date |
|---|---|---|---|
| Training Policy - ACL | 2.0 | Policy | 17 Nov 2023 |
| CPD Plan Template - ACL | 1.0 | Tool | 29 Jan 2021 |
| CPD Register - ACL | 1.0 | Register | 29 Jan 2021 |
Monitoring and Supervision
Monitoring and Supervision - ACL
Last updated - 17 Nov 2023
| Document | Version | Type | Date |
|---|---|---|---|
| Consumer Remediation Policy - ACL | 2.0 | Policy | 20 Dec 2022 |
| Monitoring and Supervising Representatives Policy - ACL | 2.1 | Policy | 17 Nov 2023 |
| Monitoring and Supervision Register - ACL | 2.0 | Register | 20 Dec 2022 |
| Consumer Remediation Plan Template - ACL | 2.0 | Tool | 20 Dec 2022 |
| Credit Assessment File Review Template - ACL | 2.0 | Tool | 20 Dec 2022 |
| Representative Review Template - ACL | 2.0 | Tool | 20 Dec 2022 |
| Monitoring and Supervision Checklist Template - ACL | 2.0 | Tool | 20 Dec 2022 |
| Withdrawal of Authoriser Consent - ACL | 1.0 | Tool | 20 Dec 2022 |
| Revocation Form - Credit Representative - ACL | 1.0 | Tool | 20 Dec 2022 |
| Revocation Form - Employee - ACL | 1.0 | Tool | 20 Dec 2022 |
| Checklist for Monitoring a Corporate Credit Representative - ACL | 1.0 | Tool | 20 Dec 2022 |
| Quick Guide - What Tool to Use When - ACL | 1.0 | Guide | 05 Jan 2023 |
Handling Client Money
Handling Client Money - AFSL
Last updated - 15 Nov 2023
| Document | Version | Type | Date |
|---|---|---|---|
| Handling Client Money Policy - AFSL | 2.0 | Policy | 15 Nov 2023 |
| Annual Declaration Template - AFSL | 1.0 | Tool | 01 Jan 2018 |
| Monthly Declaration Template - AFSL | 1.0 | Tool | 01 Jan 2018 |
| Annual Auditor's Report Template - AFSL | 1.0 | Tool | 01 Jan 2018 |
| Reconciliation Discrepancy Reporting to ASIC Template - AFSL | 1.0 | Tool | 01 Jan 2018 |
Design and Distribution
Design and Distribution (Product Providers) - AFSL
Last updated - 19 Oct 2023
| Document | Version | Type | Date |
|---|---|---|---|
| Design and Distribution Policy (Product issuers and distributors – combined) - AFSL | 3.0 | Policy | 12 Jan 2023 |
| Target Market Determination Checklist - Product Issuer - AFSL | 1.0 | Tool | 19 Oct 2023 |
| Design and Distribution Mindmap - ACL, AFSL | 1.0 | Mindmap | 01 Sep 2021 |
Design and Distribution
Design and Distribution (CFD Providers) - AFSL
Last updated - 19 Oct 2023
| Document | Version | Type | Date |
|---|---|---|---|
| Design and Distribution Policy (Product issuers and distributors – combined) - AFSL | 3.0 | Policy | 12 Jan 2023 |
| 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 |
| Design and Distribution Mindmap - ACL, AFSL | 1.0 | Mindmap | 01 Sep 2021 |
Design and Distribution
Design and Distribution (Payments Businesses) - AFSL
Last updated - 19 Oct 2023
| Document | Version | Type | Date |
|---|---|---|---|
| Design and Distribution Policy (Product issuers and distributors – combined) - AFSL | 3.0 | Policy | 12 Jan 2023 |
| Target Market Determination - Payments - NCP Facilities - Spot Foreign Exchange Contracts - AFSL | 2.0 | Tool | 07 Oct 2021 |
| Target Market Determination - Payments - NCP Facilities - Forward Foreign Exchange Contracts - AFSL | 2.0 | Tool | 07 Oct 2021 |
| Target Market Determination Checklist - Product Issuer - AFSL | 1.0 | Tool | 19 Oct 2023 |
| Design and Distribution Mindmap - ACL, AFSL | 1.0 | Mindmap | 01 Sep 2021 |
Monitoring and Supervision
Monitoring and Supervision - AFSL
Last updated - 06 Oct 2023
| Document | Version | Type | Date |
|---|---|---|---|
| Client Remediation Policy - AFSL | 2.0 | Policy | 27 Oct 2022 |
| Monitoring and Supervising Representatives Policy - AFSL | 3.1 | Policy | 06 Oct 2023 |
| Monitoring and Supervision Register - AFSL | 2.0 | Register | 13 Nov 2020 |
| Client Remediation Plan Template - AFSL | 2.0 | Tool | 27 Oct 2022 |
| Monitoring and Supervision Checklist - AFSL | 2.0 | Tool | 08 Sep 2022 |
| General Advice Review Template - AFSL | 2.0 | Tool | 08 Sep 2022 |
| Personal Advice File Review Template - AFSL | 2.0 | Tool | 08 Sep 2022 |
| Representative Review Template - AFSL | 2.0 | Tool | 08 Sep 2022 |
| FSG Checklist Template - AFSL | 3.0 | Tool | 30 Mar 2023 |
| ROA Checklist - AFSL | 2.0 | Tool | 08 Sep 2022 |
| SOA Checklist - AFSL | 3.0 | Tool | 08 Sep 2022 |
| Withdrawal of Authoriser Consent - AFSL | 1.0 | Tool | 08 Sep 2022 |
| Revocation Form – Authorised Representative - AFSL | 1.0 | Tool | 08 Sep 2022 |
| Revocation Form – Employee - AFSL | 1.0 | Tool | 08 Sep 2022 |
| Checklist for Monitoring a Corporate Authorised Representative - AFSL | 1.0 | Tool | 08 Sep 2022 |
| Checklist for PDS Content - AFSL | 1.0 | Tool | 18 Nov 2022 |
| Quick Guide - What Tool to Use When - AFSL | 1.1 | Guide | 24 Aug 2023 |
Promotional Material, Marketing and Anti-Hawking
Promotional Material and Marketing - ACL
Last updated - 19 Sep 2023
| Document | Version | Type | Date |
|---|---|---|---|
| Promotional Material and Marketing Policy - ACL | 2.1 | Policy | 19 Sep 2023 |
| Promotional Material Checklist - ACL | 2.1 | Tool | 19 Sep 2023 |
Promotional Material, Marketing and Anti-Hawking
Promotional Material and Marketing - Wholesale
Last updated - 14 Sep 2023
| Document | Version | Type | Date |
|---|---|---|---|
| Promotional Material and Marketing Policy - Wholesale | 2.0 | Policy | 14 Sep 2023 |
| Promotional Material Checklist - Wholesale | 2.0 | Tool | 14 Sep 2023 |
Conflicts of Interest
Conflicts of Interest - AFSL
Last updated - 14 Jul 2023
| Document | Version | Type | Date |
|---|---|---|---|
| Conflicts of Interest Policy - AFSL | 5.0 | Policy | 14 Jul 2023 |
| Conflicts of Interest Register - AFSL | 2.0 | Register | 14 Dec 2022 |
| Representative Conflicts of Interest Checklist Template - AFSL | 1.0 | Policy | 14 Jul 2023 |
Conflicts of Interest
Conflicts of Interest - Wholesale
Last updated - 19 May 2023
| Document | Version | Type | Date |
|---|---|---|---|
| Conflicts of Interest Policy - Wholesale | 2.0 | Policy | 19 May 2023 |
| Conflicts of Interest Register - Wholesale | 2.0 | Register | 19 May 2023 |
Conflicts of Interest
Conflicts of Interest - ACL
Last updated - 18 May 2023
| Document | Version | Type | Date |
|---|---|---|---|
| Conflicts of Interest Policy - ACL | 2.0 | Policy | 18 May 2023 |
| Conflicts of Interest Register - ACL | 2.0 | Register | 18 May 2023 |
Design and Distribution
Design and Distribution (Advice Providers) - AFSL
Last updated - 12 Jan 2023
| Document | Version | Type | Date |
|---|---|---|---|
| Design and Distribution Policy (Distributors) - AFSL | 3.0 | Policy | 12 Jan 2023 |
| Design and Distribution Mindmap - ACL, AFSL | 1.0 | Mindmap | 01 Sep 2021 |
Design and Distribution
Design and Distribution (Accountants) - AFSL
Last updated - 12 Jan 2023
| Document | Version | Type | Date |
|---|---|---|---|
| Design and Distribution Policy (Distributors) - AFSL | 3.0 | Policy | 12 Jan 2023 |
| Design and Distribution Mindmap - ACL, AFSL | 1.0 | Mindmap | 01 Sep 2021 |
Complaints
Complaints - Wholesale
Last updated - 31 Oct 2022
| Document | Version | Type | Date |
|---|---|---|---|
| Dispute Resolution Policy - Wholesale | 1.0 | Policy | 31 Oct 2022 |
| Complaints Register - Wholesale | 1.0 | Register | 31 Oct 2022 |
| Public Complaints Policy - Wholesale | 1.0 | Tool | 31 Oct 2022 |
Design and Distribution
Design and Distribution - ACL
Last updated - 05 Oct 2021
| Document | Version | Type | Date |
|---|---|---|---|
| Design and Distribution Policy (includes credit licensees and credit representatives) - ACL | 1.0 | Policy | 05 Oct 2021 |
| Target Market Determination – Rewards Program Credit Card - ACL | 1.0 | Tool | 05 Oct 2021 |
| Design and Distribution Mindmap - ACL, AFSL | 1.0 | Mindmap | 01 Sep 2021 |
Reporting Obligations (Breach Reporting)
Breaches and Incidents Register - Wholesale
Version 3.0 -
04 Sep 2025
Reporting Obligations (Breach Reporting)
Breaches and Incidents Register - AFSL
Version 8.0 -
27 Aug 2025
Reporting Obligations (Breach Reporting)
Breaches and Incidents Register - ACL
Version 4.0 -
27 Aug 2025
Other
Compliance Trends Survey - ACL, AFSL, Wholesale
Version 1.0 -
06 May 2025
None
Article: High Court to provide clarity on the meaning of Personal and General Financial Product advice - AFSL, Wholesale
Version 1.0 -
08 Feb 2022
None
Article: Changes to Breaches, References, DDO, Hawking, Add-On Insurance, and IDR - AFSL, Wholesale
Version 1.0 -
08 Feb 2022