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Reporting Obligations (Breach Reporting) Reporting Obligations - AFSL
Version 7.2 - 13 Feb. 2024
Document Version Type Date
Breach (Reportable Situation) and Events Reporting Policy - AFSL 5.0 Policy 1 Dec. 2023
Breaches and Incidents Register - AFSL 7.0 Register 1 Dec. 2023
Misleading and Deceptive Conduct Template - AFSL 2.0 Tool 1 Dec. 2023
Breach Reporting RG 78 (Combined AFSL-ACL) Mindmap - ACL, AFSL 1.0 Mindmap 13 Feb. 2024
Compliance Arrangements Compliance Arrangements Overview - AFSL
Version 5.2 - 8 Feb. 2024
Document Version Type Date
Compliance Policy - AFSL 3.0 Policy 27 Sept. 2023
Compliance Committee Charter - AFSL 2.0 Tool 27 Sept. 2023
Compliance Committee Standard Agenda - AFSL 1.0 Tool 27 Sept. 2023
Director's Declaration - Change in Control - AFSL 1.0 Tool 27 Sept. 2023
Periodic Board Compliance Report - AFSL 1.0 Tool 27 Sept. 2023
FSR Overview Mindmap - AFSL, Wholesale 1.0 Mindmap 5 Feb. 2021
Responsible Managers (AFSL) Mindmap - AFSL, Wholesale 1.0 Mindmap 7 April 2020
Responsible Managers ACL (RG 206) Mindmap - ACL 1.0 Mindmap 19 Jan. 2016
Conflicts of Interest Personal Trading (Dealing) - AFSL
Version 1.1 - 7 Feb. 2024
Document Version Type Date
Personal Trading (Dealing) Policy - AFSL 1.1 Policy 7 Feb. 2024
Appointments and Terminations Appointments and Terminations - AFSL
Version 5.2 - 30 Jan. 2024
Document Version Type Date
Representatives: Appointing, Reference Checking and Reference Giving Policy - AFSL 3.0 Policy 10 Feb. 2022
Appointing a Responsible Manager and/or Key Person Policy - AFSL 1.0 Policy 1 Jan. 2018
Offboarding Policy - AFSL 1.0 Policy 27 April 2023
Representative Register - AFSL 1.0 Register 1 Jan. 2018
Appointing a Representative Checklist (Non Financial Adviser) - AFSL 2.0 Tool 1 Oct. 2021
Appointing a Representative Checklist (Financial Adviser) - AFSL 2.0 Tool 10 Feb. 2022
Appointing a Responsible Manager Checklist - AFSL 1.0 Tool 1 Jan. 2018
Offboarding a Representative Checklist - AFSL 1.0 Tool 27 April 2023
Reference Request (Financial Adviser) - AFSL 1.0 Tool 1 Oct. 2021
Consent Form (Financial Adviser) - AFSL 1.0 Tool 1 Oct. 2021
Appointment by Authoriser Form - AFSL 2.0 Tool 13 Sept. 2022
Authorised Representative Form - AFSL 2.0 Tool 13 Sept. 2022
Employee of a Licensee Form - AFSL 2.0 Tool 13 Sept. 2022
Authorisation - Authoriser Form - AFSL 2.0 Tool 13 Sept. 2022
Registration of a Relevant Provider, including Fit and Proper Declaration - AFSL 1.1 Tool 30 Jan. 2024
Risk Management Risk Management - ACL
Version 2.1 - 17 Nov. 2023
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 Register - ACL 2.1 Register 5 July 2023
Risk Appetite Statement Template - ACL 1.0 Tool 11 April 2023
Training Training - ACL
Version 2.0 - 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
Version 2.1 - 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 5 Jan. 2023
Adequate Resources Adequate Resources - ACL
Version 2.0 - 17 Nov. 2023
Document Version Type Date
Financial Resources, Financial Records and Compensation Policy - ACL 1.0 Policy 15 Jan. 2021
Human Resources Policy - ACL 1.0 Policy 15 Jan. 2021
IT Resources Policy - ACL 2.0 Policy 17 Nov. 2023
Human Resources Organisational Chart Template - ACL 1.0 Tool 1 Oct. 2020
PI Insurance Checklist Template - ACL 1.0 Tool 1 Oct. 2020
Outsourcing Outsourcing - ACL
Version 3.0 - 17 Nov. 2023
Document Version Type Date
Outsourcing Policy - ACL 3.0 Policy 17 Nov. 2023
Engagement Checklist for Outsourced Providers - ACL 3.0 Tool 17 Nov. 2023
Letter to Existing Service Provider - ACL 2.0 Tool 13 Oct. 2021
List of Existing Service Providers - ACL 2.0 Tool 13 Oct. 2021
Service Provider Review Checklist - ACL 2.0 Tool 13 Oct. 2021
Handling Client Money Handling Client Money - AFSL
Version 2.0 - 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 1 Jan. 2018
Monthly Declaration Template - AFSL 1.0 Tool 1 Jan. 2018
Annual Audtior's Report Template - AFSL 1.0 Tool 1 Jan. 2018
Reconciliation Discrepancy Reporting to ASIC Template - AFSL 1.0 Tool 1 Jan. 2018
Complaints Complaints - AFSL
Version 4.1 - 14 Nov. 2023
Document Version Type Date
Dispute Resolution Policy - AFSL 4.1 Policy 14 Nov. 2023
Complaints Register - AFSL 3.0 Register 9 Dec. 2022
Public Complaints Policy - AFSL 2.0 Tool 22 Oct. 2021
IDR Response Template - AFSL 1.0 Tool 14 Nov. 2023
Guide to IDR Reporting - AFSL 2.0 Guide 14 Nov. 2023
Complaints Dispute Resolution (Complaints) - ACL
Version 4.1 - 14 Nov. 2023
Document Version Type Date
Dispute Resolution Policy - ACL 4.1 Policy 14 Nov. 2023
Complaints Register - ACL 3.0 Register 13 Dec. 2022
Public Complaints Policy - ACL 2.0 Tool 22 Oct. 2021
IDR Response Template - ACL 1.0 Policy 14 Nov. 2023
Guide to IDR Reporting - ACL 2.0 Guide 14 Nov. 2023
Adequate Resources Adequate Resources - AFSL
Version 2.1 - 9 Nov. 2023
Document Version Type Date
Human Resources Policy - AFSL 2.0 Policy 6 Oct. 2023
IT Resources Policy - AFSL 2.1 Policy 9 Nov. 2023
Financial Resources, Records and Compensation Policy - AFSL 1.0 Policy 1 Jan. 2018
Human Resources Organisational Chart Template - AFSL 2.0 Tool 6 Oct. 2023
PI Insurance Checklist - AFSL 1.0 Tool 1 Jan. 2018
Design and Distribution Design and Distribution (CFD Providers) - AFSL
Version 4.0 - 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 1 Sept. 2021
Design and Distribution Design and Distribution (Payments Businesses) - AFSL
Version 4.0 - 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 7 Oct. 2021
Target Market Determination - Payments - NCP Facilities - Forward Foreign Exchange Contracts - AFSL 2.0 Tool 7 Oct. 2021
Target Market Determination Checklist - Product Issuer - AFSL 1.0 Tool 19 Oct. 2023
Design and Distribution Mindmap - ACL, AFSL 1.0 Mindmap 1 Sept. 2021
Design and Distribution Design and Distribution (Product Providers) - AFSL
Version 4.0 - 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 1 Sept. 2021
Risk Management Risk Management - AFSL
Version 2.1 - 6 Oct. 2023
Document Version Type Date
Business Continuity Planning Policy - AFSL 1.1 Policy 6 Oct. 2023
Risk Management Policy - AFSL 2.1 Policy 6 Oct. 2023
Risk Register - AFSL 2.1 Register 7 July 2023
Risk Appetite Statement Template - AFSL 1.0 Tool 12 Jan. 2023
Business Continuity Plan Template - AFSL 1.1 Tool 6 Oct. 2023
Monitoring and Supervision Monitoring and Supervision - AFSL
Version 8.3 - 6 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 6 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 8 Sept. 2022
General Advice Review Template - AFSL 2.0 Tool 8 Sept. 2022
Personal Advice File Review Template - AFSL 2.0 Tool 8 Sept. 2022
Representative Review Template - AFSL 2.0 Tool 8 Sept. 2022
FSG Checklist Template - AFSL 3.0 Tool 30 March 2023
ROA Checklist - AFSL 2.0 Tool 8 Sept. 2022
SOA Checklist - AFSL 3.0 Tool 8 Sept. 2022
Withdrawal of Authoriser Consent - AFSL 1.0 Tool 8 Sept. 2022
Revocation Form – Authorised Representative - AFSL 1.0 Tool 8 Sept. 2022
Revocation Form – Employee - AFSL 1.0 Tool 8 Sept. 2022
Checklist for Monitoring a Corporate Authorised Representative - AFSL 1.0 Tool 8 Sept. 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
Training Training - AFSL
Version 6.1 - 6 Oct. 2023
Document Version Type Date
Training Policy - AFSL 4.1 Policy 6 Oct. 2023
Provisional Relevant Provider Policy - AFSL 2.0 Policy 15 June 2022
Provisional Relevant Provider Professional Year Plan Template - AFSL 2.0 Tool 15 June 2022
Completion Certificate - AFSL 1.0 Tool 15 June 2022
Final Completion Certificate - AFSL 1.0 Tool 15 June 2022
Logbook Hours - AFSL 1.0 Tool 15 June 2022
CPD Plan and Register (Excel Version) - AFSL 7.0 Register 9 May 2023
CPD Plan and Register (Word Version) - AFSL 3.0 Register 9 May 2023
CPD Policy - AFSL 4.0 Tool 9 May 2023
Outsourcing Outsourcing - AFSL
Version 4.1 - 6 Oct. 2023
Document Version Type Date
Outsourcing Policy - AFSL 4.1 Policy 6 Oct. 2023
Engagement Checklist for Outsourced Providers - AFSL 4.0 Tool 15 June 2023
List of Existing Service Providers - AFSL 3.0 Tool 14 Oct. 2021
Service Provider Review Checklist - AFSL 3.0 Tool 14 Oct. 2021
Promotional Material, Marketing and Anti-Hawking Promotional Material and Marketing - ACL
Version 2.1 - 19 Sept. 2023
Document Version Type Date
Promotional Material and Marketing Policy - ACL 2.1 Policy 19 Sept. 2023
Promotional Material Checklist - ACL 2.1 Tool 19 Sept. 2023
Promotional Material, Marketing and Anti-Hawking Promotional Material and Marketing - Wholesale
Version 2.0 - 14 Sept. 2023
Document Version Type Date
Promotional Material and Marketing Policy - Wholesale 2.0 Policy 14 Sept. 2023
Promotional Material Checklist - Wholesale 2.0 Tool 14 Sept. 2023
Reporting Obligations (Breach Reporting) Reporting Obligations - Wholesale
Version 2.1 - 13 Sept. 2023
Document Version Type Date
Breach (Reportable Situation) and Events Reporting Policy - Wholesale 2.1 Policy 13 Sept. 2023
Misleading and Deceptive Conduct Template - Wholesale 1.0 Tool 31 May 2023
Breaches and Incidents Register - Wholesale 2.0 Register 31 May 2023
Reporting Table - Lodgment Requirements for Wholesale AFS Licensees - Wholesale 2.0 Tool 31 May 2023
Promotional Material, Marketing and Anti-Hawking Promotional Material, Marketing and Anti-Hawking - AFSL
Version 9.0 - 20 July 2023
Document Version Type Date
Promotional Material, Marketing and Anti-Hawking Policy - AFSL 8.0 Policy 20 July 2023
Promotional Material Checklist - AFSL 5.1 Tool 20 July 2023
Conflicts of Interest Conflicts of Interest - AFSL
Version 3.2 - 14 July 2023
Document Version Type Date
Conflicts of Interest Policy - AFSL 5.0 Policy 14 July 2023
Conflicts of Interest Register - AFSL 2.0 Register 14 Dec. 2022
Representative Conflicts of Interest Checklist Template - AFSL 1.0 Policy 14 July 2023
Conflicts of Interest Conflicted Remuneration - AFSL
Version 1.0 - 15 June 2023
Document Version Type Date
Conflicted Remuneration and Soft Dollar Policy - AFSL 1.0 Policy 15 June 2023
Soft Dollar Register - AFSL 2.0 Register 15 June 2023
Examples of Conflicted Remuneration - AFSL 1.0 Tool 15 June 2023
Examples of Exclusions from the Ban on Conflicted Remuneration - AFSL 1.0 Tool 15 June 2023
Conflicts of Interest Conflicts of Interest - Wholesale
Version 2.0 - 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
Version 2.0 - 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 (Accountants) - AFSL
Version 3.0 - 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 1 Sept. 2021
Design and Distribution Design and Distribution (Advice Providers) - AFSL
Version 3.0 - 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 1 Sept. 2021
Design and Distribution Design and Distribution - ACL
Version 1.0 - 5 Oct. 2021
Document Version Type Date
Design and Distribution Policy (includes credit licensees and credit representatives) - ACL 1.0 Policy 5 Oct. 2021
Target Market Determination – Rewards Program Credit Card - ACL 1.0 Tool 5 Oct. 2021
Design and Distribution Mindmap - ACL, AFSL 1.0 Mindmap 1 Sept. 2021
Appointments and Terminations Appointments - ACL
Version 3.0 - 29 Sept. 2021
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 3.0 Policy 29 Sept. 2021
Representative Register Template - ACL 1.0 Register 11 Nov. 2020
Appointing a Representative Checklist (Non Mortgage Broker) - ACL 3.0 Tool 29 Sept. 2021
Appointing a Representative Checklist (Mortgage Broker) - ACL 1.0 Tool 29 Sept. 2021
Reference Request (Mortgage Broker) - ACL 1.0 Tool 29 Sept. 2021
Consent Form (Mortgage Broker) - ACL 1.0 Tool 29 Sept. 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
Credit Representative Form - ACL 1.0 Tool 11 Nov. 2020
Employee of a Licensee Form - ACL 1.0 Tool 11 Nov. 2020
Support Resources HN Documents Current List
Version 41.6 - 15 Feb. 2024
Reporting Obligations (Breach Reporting) Breaches and Incidents Register - ACL
Version 3.0 - 5 Dec. 2023
Reporting Obligations (Breach Reporting) Breaches and Incidents Register - AFSL
Version 7.0 - 1 Dec. 2023
Reporting Obligations (Breach Reporting) Breaches and Incidents Register - Wholesale
Version 2.0 - 31 May 2023
Support Resources Sample Policy
Version 2.0 - 7 March 2023
Support Resources Documents Guide - ACL, AFSL, Wholesale
Version 4.0 - 7 Dec. 2022