Reporting Obligations (Breach Reporting)

Reporting Obligations - ACL

Version 4.1 - Last updated: 13 Feb. 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 1.0 Mindmap 13 Feb. 2024