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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Description
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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