Conflicts of Interest - Wholesale

This bundle is designed to assist Wholesale AFS licensees to develop a policy to manage and monitor their conflicts of interest. This bundle includes a Conflicts of Interest Policy and Conflicts of Interest Register. Together, the policy and register are examples of arrangements that a Wholesale 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).