AFSL Compliance Guide – Generic

This comprehensive Compliance Guide for AFSL Holders is designed to equip Australian Financial Services Licence (AFSL) holders, Responsible Managers, directors, and staff with the knowledge and practical tools needed to meet their regulatory obligations.

The guide covers all critical areas of AFSL compliance, including:

• Licence obligations and regulatory framework
• Roles and responsibilities of Responsible Managers, directors, and employees
• Managing conflicts of interest and ensuring fair, honest conduct
• Wholesale vs Retail client classification under the Corporations Act
• Essential disclaimers and risk management practices
• Compliance with financial services laws and ASIC requirements
• Breach identification, assessment, and reporting obligations
• Marketing and misleading conduct rules
• Dispute resolution, complaints handling, and AFCA membership
• Financial resource and risk management system requirements

With detailed examples, practical guidelines, and a ready-to-use compliance checklist, this guide helps AFSL holders implement robust governance, protect clients, and avoid regulatory breaches.

Who is it for?

• AFSL licensees (financial services firms, fund managers, custodians, and advisers)
• Responsible Managers and directors
• Compliance teams and risk officers
• Businesses preparing for an ASIC review or independent compliance audit

Key Benefits
✔ Clear, practical explanations of complex obligations
✔ Real-world examples to support implementation
✔ Step-by-step compliance checklist for daily operations
✔ Supports ongoing staff training and governance practices

Stay Compliant, Stay Protected
Understand your AFSL obligations and avoid costly compliance mistakes. Stay ahead with an Australian Financial Services businesses’ legal compliance guide today. Stay compliant with Click Legal’s expert legal compliance guide – and contact us for comprehensive support.

Format: Digital Download
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🔹 Need Legal Support?

Our compliance guide is a powerful tool, but sometimes you need tailored advice.
Contact an experienced AFSL lawyer today at hello@clicklegal.com.au for comprehensive compliance support.