Reporting Obligations (Breach Reporting)
Reporting Obligations - ACL
Version 4.2 -
Last updated: 3 June 2024
This bundle is designed for a Credit Licensee to develop a policy for reporting and documenting breaches to ASIC. It has been updated as a result of changes to ASIC’s RG 78 (Breach reporting by AFS licensees and credit licensees) in 2023. It includes a flowchart and steps to consider in determining if a breach has occurred. It has been designed to align with the requirements of the National Consumer Credit Protection Act 2009 and ASIC’s RG 78.
Included documents
| Document | Version | Type | Date |
|---|---|---|---|
| Breach (Reportable Situation) Reporting Policy - ACL | 4.0 | Policy | 5 Dec. 2023 |
| Breaches and Incidents Register - ACL | 3.0 | Register | 5 Dec. 2023 |
| Misleading and Deceptive Conduct Template - ACL | 2.0 | Tool | 5 Dec. 2023 |
| Breach Reporting RG 78 (Combined AFSL-ACL) Mindmap - ACL, AFSL, Wholesale | 1.1 | Mindmap | 3 June 2024 |