AFSL B3 Proof Template: Compliance Arrangements document for ASIC alignment from Click Legal
Click Legal AFSL B3 Proof Template: Table of contents for ASIC-aligned compliance arrangements.
AFSL B3 Proof Template: Compliance Arrangements document outlining organizational structure and key compliance roles.

AFSL Compliance Arrangements Template (Formerly B3)

Formerly ASIC B3 compliance arrangements proof

Original price was: $450.00.Current price is: $399.00. +GST

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Use this template to:
  • Describe how your organisation manages AFSL compliance in practice
  • Explain roles, reporting lines & how compliance is embedded in operations
  • Respond to ASIC expectations in RG 104, RG 78 & Pro Forma 209 at a high level
  • Avoid writing your compliance arrangements from scratch for each application

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AFSL Business Description Template (Formerly A5) by Click Legal: Introduction and overview sections.

About this Document

Use this template if you:
  • Are applying for a new AFSL or varying an existing licence
  • Need to explain how you meet your licence obligations day to day
  • Want a structured way to talk about compliance personnel, systems & reporting
  • Prefer wording that aligns with ASIC guidance rather than starting from a blank page
It is suited to:
  • Wholesale & retail AFSL applicants across advice, dealing, platforms & funds
  • Existing licensees preparing variations or remediation materials
  • Compliance consultants & lawyers assisting AFSL applicants
What this template covers:
  • Overview of your compliance framework & how it supports AFSL obligations
  • Seniority, qualifications & independence of compliance management personnel
  • How compliance measures are embedded into business processes & procedures
  • Monitoring, reporting & escalation to management and the Board
  • High-level treatment of breach management and (where relevant) client money handling
  • A compliance obligations table you can adapt to your authorisations and risk profile
How it fits the current ASIC process:ASIC no longer requires a standalone “B3 Compliance Arrangements” document at lodgement, but the same information is now collected through the online portal and follow-up requests. This template follows the structure of the former B3 proof so you can prepare your compliance arrangements narrative once, then adapt it for portal responses and later requirements-stage questions.

You receive an editable Word document with placeholders for your company name, structure, roles & services, plus guidance notes to help you align it with your other AFSL proofs and compliance framework.

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