Anti-Hawking Policy Template (Australia)
Aligned with Corporations Act hawking regime
$199.00 +GST
Free Download for COMPASS Members
- Document your compliance with the Corporations Act hawking prohibitions;
- Define what counts as unsolicited, real-time contact with consumers;
- Set clear consent requirements, including their six-week expiry period;
- Establish contact hours, No Contact Register and PDS delivery rules.
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About this Document
- Hold an AFSL and have staff who make outbound contact with retail clients or prospective retail clients about financial products
- Need a written, standalone policy for complying with the hawking prohibitions in Corporations Act 2001 (Cth) sections 992A and 992AA
- Want clear, practical rules on consent, permitted contact hours, the No Contact Register and PDS delivery
- Are training marketing, business development or sales teams on what counts as unsolicited, real-time contact
- AFSL holders and their corporate authorised representatives
- Responsible entities and fund managers whose marketing or distribution teams contact investors directly
- Financial advice licensees whose advisers or support staff make outbound calls or hold meetings with prospective clients
- Insurance and superannuation providers with outbound sales or retention teams
- Purpose, application and the staff who the policy applies to
- What the hawking prohibition captures, including in-person meetings, phone calls, video calls and live chat
- Consumer consent requirements, which must be positive, voluntary, clear and current (given within 6 weeks)
- Prescribed exceptions, including the 12-month existing client relationship, employee share schemes and wholesale clients
- Permitted written and digital communications and opt-out wording for direct marketing
- Conditions for permitted unsolicited contact: contact hours, the No Contact Register, PDS delivery and the add-on insurance follow-up window
- Consequences of non-compliance, roles and responsibilities, record-keeping and monitoring, a decision-pathway diagram, and a key legislation and regulatory guidance table
How To Use This Template
This template is a starting point, not a final document. It’s been drafted by Australian lawyers to be practical and flexible, but it still needs to be reviewed and tailored for your specific business, transaction and risk profile.
Before you use it, you should:
- Complete all placeholders, bracketed items and optional fields;
- Remove any drafting notes or clauses that aren’t relevant to your situation; and
- Check that party names, entity details, dates, addresses, contact details and defined terms are accurate.
Make sure the template is consistent with your other documents and obligations – including any existing contracts, policies, procedures, website terms, privacy disclosures, regulatory requirements or internal governance documents. If anything conflicts, it should be resolved before you sign, issue, adopt or implement the document.
If you are using the template as an agreement, it should be reviewed and signed by all relevant parties in accordance with applicable law and your internal signing requirements. If you are using it as a policy, procedure, notice or compliance record, it should be approved and stored under your organisation’s normal document control processes.
This template is provided as general information only and is not legal advice. Complex, high‑value, highly regulated or cross‑border matters will usually require bespoke drafting. For anything outside a straightforward use case, we strongly recommend obtaining legal advice before relying on, signing or implementing this document.
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