Sophie Grace prepares all compliance procedural documentation to address the obligations imposed on AFSL holders by:
- The Corporations Act 2001 and Corporations Regulations 2001;
- ASIC Regulatory Guides;
- AFS Licence conditions;
- AML/CTF legislation; and
- Other financial services laws.
Sophie Grace can prepare the required compliance procedural documentation on the behalf of your entity prior to submission with ASIC. We will tailor the AFSL procedural documentation to your business as each AFSL holder will require a slightly different combination of procedures, depending on their AFSL authorisations.
Alternatively, you can purchase the below required template documents from our shop to assist you in your application process. The following procedures are available at Sophie Grace for purchase separately or together at a discounted price.
Please click on each of the following policies and procedures to learn more:
- Advice Policy (required for AFSL holders who provide Person Advice to Retail Clients);
- AML/CTF Policy and AML/CTF Risk Assessment and Management Matrix;
- Authorised Representatives Manual;
- Breaches and Incidents Policy and Register;
- Complaints Register;
- Compliance Calendar (providing a framework around completion of obligations);
- Compliance Plan;
- Conflicts of Interest Policy and Register;
- Document Retention Policy;
- External Service Provider Register;
- Financial Requirements Checklist;
- Gifts and Benefits Register;
- HR Register;
- Insider Trading Policy;
- Internal Dispute Resolution Policy;
- Managed Discretionary Account Services Policy;
- Marketing Checklist;
- Outsourcing Policy;
- Personal Dealing Policy and Declaration;
- Representatives Policy and Register;
- Responsible Manager Policy;
- Risk Management Policy and Risk Assessment and Management Matrix; and
- Training Policy and Register for Employees.
Please note that not all the procedures listed will apply to each AFSL holder. If you would like to obtain further information or assistance, please contact Sophie Grace directly.