AFSL Compliance Checklist (Free)
Free checklist for Australian Financial Services Licence holders
Use this checklist to:
- Review your AFSL compliance against Corporations Act and ASIC guidance
- Map key licensing, conduct, financial and governance obligations
- Plan periodic internal compliance reviews and Board reports
- Identify where you may need updated policies or external advice
Clear & actionable
Simple steps you can tick off as you go.
Lawyer‑prepared
Built around current Australian legal requirements.
Easy to reuse
Print or reuse for your recurring reviews.
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About this Document
Use this checklist if you:
- Hold an AFSL and want a structured view of your obligations
- Need a tool to support quarterly or annual compliance reviews
- Are responsible for AFSL compliance, risk or governance in your business
- Are preparing for an ASIC review, independent audit or due diligence process
It is suited to:
- AFSL licensees (advice firms, platforms, funds, custodians and other providers)
- Responsible Managers, directors and compliance teams
- Risk officers and internal auditors in financial services businesses
What this checklist covers:
- General licensing obligations and fit‑and‑proper requirements
- Governance, breach reporting and conflicts management
- Financial and capital requirements and reporting
- Client conduct obligations, including anti‑hawking, best interests and disclosure
- Complaints handling, AFCA membership and dispute resolution
- Whistleblower protections, cybersecurity and business continuity
- Insurance, adviser registration and oversight of representatives
- Service provider due diligence and ongoing oversight
You receive a free, structured checklist you can adapt to your AFSL profile and use as the backbone of your periodic compliance review process.
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What Our Clients Say About Working With Us
Jason Gold
Managing Director, IT Pro Tech"At IT Pro Tech, we partner with businesses who share our commitment to integrity. Click Legal stands out in the legal space for exactly that. Hannah and the team impressed us with their deep understanding of compliance-heavy sectors and their ability to offer clear, practical legal advice without overcomplicating the process."
Guy Raven
Head of Surveillance Advisory, Westpac"Hannah demonstrated exceptional leadership and regulatory expertise. She played a pivotal role in developing the control room and establishing a strong regulatory compliance framework... Beyond her deep technical knowledge, Hannah is an outstanding mentor, approachable, and insightful."
Antonella Spatola
Founder, True To You Charity"Hannah at Click Legal has supported the board in establishing our documentation and legal framework to start on a solid footing. We appreciate her authentic interest in the charity's mission... We appreciate how she explains complex concepts in simple terms, avoiding legal jargon."
Sharon Yang
Head of Investment & Capital Mgmt"Hannah and Click Legal have provided reliable legal advice to us. It has been integral in helping us meet all our AFSL obligations with confidence. I highly recommend their services to any business needing compliance support."
Jason Watts GAICD
Managing Director, Neu Capital"Hannah blends rare regulatory expertise with sharp business acumen. As her Manager at Barclays, I watched her master APRA/ASIC frameworks and turn them into clear, actionable strategies... She's the kind of professional who simplifies complexity, and her integrity is unmatched."
Stuart Hill
Program Manager/Operations Manager"Hannah has exceptional depth of knowledge and expertise in building robust legal, risk, and compliance frameworks... Beyond her technical expertise, Hannah is a strategic thinker and a genuinely kind, friendly person who always supports and helps others."
Jason Lowry
Co-Founder, LPG"Could not recommend Click Legal more highly! Must have for start ups and small business owners looking to trust someone to help set up your business right!"
Jason Gold
Managing Director, IT Pro Tech"At IT Pro Tech, we partner with businesses who share our commitment to integrity. Click Legal stands out in the legal space for exactly that. Hannah and the team impressed us with their deep understanding of compliance-heavy sectors and their ability to offer clear, practical legal advice without overcomplicating the process."
Guy Raven
Head of Surveillance Advisory, Westpac"Hannah demonstrated exceptional leadership and regulatory expertise. She played a pivotal role in developing the control room and establishing a strong regulatory compliance framework... Beyond her deep technical knowledge, Hannah is an outstanding mentor, approachable, and insightful."
Antonella Spatola
Founder, True To You Charity"Hannah at Click Legal has supported the board in establishing our documentation and legal framework to start on a solid footing. We appreciate her authentic interest in the charity's mission... We appreciate how she explains complex concepts in simple terms, avoiding legal jargon."
Sharon Yang
Head of Investment & Capital Mgmt"Hannah and Click Legal have provided reliable legal advice to us. It has been integral in helping us meet all our AFSL obligations with confidence. I highly recommend their services to any business needing compliance support."
Jason Watts GAICD
Managing Director, Neu Capital"Hannah blends rare regulatory expertise with sharp business acumen. As her Manager at Barclays, I watched her master APRA/ASIC frameworks and turn them into clear, actionable strategies... She's the kind of professional who simplifies complexity, and her integrity is unmatched."
Stuart Hill
Program Manager/Operations Manager"Hannah has exceptional depth of knowledge and expertise in building robust legal, risk, and compliance frameworks... Beyond her technical expertise, Hannah is a strategic thinker and a genuinely kind, friendly person who always supports and helps others."
Jason Lowry
Co-Founder, LPG"Could not recommend Click Legal more highly! Must have for start ups and small business owners looking to trust someone to help set up your business right!"
Need more than a checklist?
Request your FREE consultation & our senior lawyers will contact you to discuss your situation.
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