Conflicts of Interest Management Guide (AFSL & ACL Holders)
Free guide to conflicts management under s 912A & RG 181
Use this guide to:
- Understand your conflicts obligations under the Corporations Act & ASIC guidance
- Distinguish between actual, potential & perceived conflicts
- Apply the core tools of controlling, avoiding & disclosing conflicts
- Build or refine your conflicts management policy and procedures
Plain‑English explanations
Complex rules explained in simple language.
Practical examples
Real‑world scenarios, diagrams & checklists.
Ready to share
Ideal for briefing leaders & training your team.
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About this Document
Use this guide if you:
- Hold an AFSL or ACL and need to tighten your conflicts management framework
- Are confused about how far your duty to act in the client’s best interests extends
- Want practical examples of conflicts scenarios in financial and credit services
- Are building or refreshing your written conflicts policy and registers
It is suited to:
- AFSL & ACL licensees and their Responsible Managers
- Compliance & risk teams in financial services and credit businesses
- Directors and senior leaders who approve governance frameworks
- External advisers supporting AFSL/ACL compliance programs
What this guide covers:
- The legal basis for conflicts management under s 912A(1)(aa) of the Corporations Act
- Definitions and examples of actual, potential and perceived conflicts
- Practical use of the three main tools: controlling, avoiding and disclosing conflicts
- Common scenarios: gifts & hospitality, outside business interests, personal trading
- How to design and maintain a conflicts policy, register and escalation process
- Visual process maps and examples you can adapt for training and policy work
You receive a free PDF that breaks complex conflicts requirements into a practical roadmap you can use to train staff and upgrade your documentation.
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Jason Lowry
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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!"
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Request your FREE consultation & our senior lawyers will contact you to discuss your situation.
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