Anti-Hawking Policy Template (Australia)

Aligned with Corporations Act hawking regime

$199.00 +GST

Free Download for COMPASS Members

Use this policy to:
  • 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.

Ready in Seconds

Download instantly after purchase - no waiting required

Forever Yours

Unlimited access to your documents whenever you need them

Fully Customizable

Edit to your exact needs with our user-friendly PDF format

Category:

Need more than a template?

Request your FREE consultation & our senior lawyers will contact you to discuss your situation.

Anti-Hawking Policy template contents page with document sections and page numbers.

About this Document

Use this policy if you:
  • 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
It is suited to:
  • 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
What this policy covers:
  • 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
You receive an editable Word document with placeholders for your company name, ABN, AFSL number, Compliance Officer title, No Contact Register location and contact hours, so you can tailor the policy to your distribution model before adopting it. It is a practical, lawyer-drafted starting point aligned with ASIC Regulatory Guide 38, not a substitute for tailored legal advice on complex or high-risk distribution arrangements.

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.

Step 1

Secure Your Template

Quick checkout process with instant confirmation

Step 2

Check Your Email

Your download link arrives instantly in your inbox

Step 3

Relax & Thrive

Focus on growing your business with rock-solid legal protection

What Our Clients Say About Working With Us

Need more than a template?

Request your FREE consultation & our senior lawyers will contact you to discuss your situation.

Legal & Compliance Insights

Join our Newsletter

Subscribe to our newsletter for the latest legal updates, insights, and firm news delivered straight to your inbox.

CONTACT

Request A Consultation

Not sure which matter or service is right for you? Leave your details & our lawyers will contact you to discuss your situation & outline next steps.

Inquire Now

Tell us briefly what you need help with & we’ll reply within 1 business day.