Conflicts of Interest - AFSL

This bundle is designed to assist AFS licensees to develop a policy to manage and monitor their conflicts of interest.  This bundle includes a Conflicts of Interest Policy, Conflicts of Interest Register and a Conflicts of Interest Checklist (for AFSL representatives). Together, the policy, register and the checklist are examples of arrangements that an AFS licensee may have in place under section 912A(1)(aa) of the Corporations Act 2001 (the obligation to have in place adequate arrangements for the management of conflicts of interest). The documents are drafted in light of ASIC’s RG 181 (Licensing: Managing conflicts of interest).