Monitoring and Supervision
Monitoring and Supervision - Wholesale
Last updated: 29 Sept. 2025
This bundle provides guidance for Wholesale-Only AFS licensees on how to implement a monitoring and supervision process that helps ensure compliance with the financial services laws. It also contains documents to assist with the remediation process and other related matters. The bundle has been prepared in light of the Corporations Act 2001 (particularly section 912A) and ASIC’s RG 104 (Licensing: Meeting the general obligations), RG 175 (Licensing: Financial product advisers – conduct and disclosure) and RG 277 (Consumer remediation).
Included documents
| Document | Version | Type | Date |
|---|---|---|---|
| Client Remediation Policy - Wholesale | 2.0 | Policy | 29 June 2023 |
| Monitoring and Supervising Representatives Policy - Wholesale | 2.0 | Policy | 29 Sept. 2025 |
| Checklist for Monitoring a Corporate Authorised Representative - Wholesale | 1.0 | Tool | 31 Oct. 2022 |
| Client Remediation Plan Template - Wholesale | 2.0 | Tool | 29 June 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 |