Compliance Arrangements Overview - AFSL

This bundle includes a compliance policy, and monthly table of upcoming obligations for financial service providers.  The list is not tailored to any one business or sector, nevertheless, it is designed to cover the requirements of AFS licensees under the Corporations Act 2001, the Corporations Regulations and ASIC Regulatory Guides (RG) and Instruments.

The bundle also includes a committee charter to establish and conduct monthly compliance committee meetings, including membership information and objectives, together with a compliance committee standard agenda template, director's declaration - change of control template, and a template periodic Board compliance report.