Business Continuity Plan Template – Financial Services (Australia)

Aligned with ISO 22301 & ASIC RG 104

$89.00 +GST

Free Download for COMPASS Members

Use this template to:
  • Set clear governance and authority to declare a crisis;
  • Oversee material service providers’ continuity and disaster recovery arrangements;
  • Establish testing, training and notification procedures for disruptions;
  • Align your plan with ISO 22301 and ASIC RG 104.

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Business continuity plan template table of contents

About this Document

Use this template if you:
  • Hold an AFSL and need to document business continuity arrangements under s912A(1)(h) of the Corporations Act 2001 (Cth)
  • Operate as a responsible entity, trustee or investment manager of managed investment schemes
  • Rely on material outsourced service providers such as custodians, administrators or IT providers
  • Want your Plan aligned with ISO 22301:2019 and ASIC Regulatory Guide 104, with reference to RG 259 where relevant
  • Have offshore office capability that could support continuity of service during a disruption
It is suited to:
  • Australian AFSL holders, particularly fund managers and responsible entities serving wholesale and institutional investors
  • Licencees that depend on material third-party service providers or maintain offshore offices (for example, Hong Kong or Singapore)
  • Not intended for APRA-regulated entities subject to prudential standards on operational resilience, which impose more prescriptive requirements
What this template covers:
  • Introduction, objectives and scope for the Plan
  • Governance arrangements and the authority to declare a crisis and invoke the Plan
  • A Business Continuity Management System covering crisis management, systems and data recovery, and process improvement
  • An accountability table with roles across the Board, Compliance Officer, CEO, functional leads, HR and IT
  • Oversight of material service providers and their business continuity and disaster recovery arrangements
  • Effective BCM planning, including Business Impact Analysis and stated planning assumptions
  • Testing, maintenance and training procedures, plus the notification and reporting pathway invoked on a disruption
  • Alignment to ISO 22301:2019, the BCI Good Practice Guidelines Edition 7.0, AS 5050 and ASIC guidance, with a reference table of key legislation and standards
You receive an editable Word document with placeholders for your company name, ACN, AFSL number, points of contact and offshore office locations, so you can tailor the Plan to your operating model before Board approval. It is a practical, lawyer-drafted starting point; complex or unusual disruption scenarios may still warrant tailored legal advice.

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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