Compliance Framework Template (Australia)

For Australian AFS licensees consolidating compliance obligations

$449.00 +GST

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Use this template to:
  • Consolidate your compliance obligations into monthly, quarterly and annual checklists;
  • Assign clear responsibility for each task to specific roles;
  • Maintain registers for conflicts of interest, breaches and complaints;
  • Set escalation and breach reporting lines aligned with ASIC guidance.

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Compliance Framework Template: Table of Contents

About this Document

Use this framework if you:
  • Hold an Australian Financial Services Licence (AFSL) and already have, or are building, a suite of individual compliance policies
  • Want a single operational document that consolidates recurring obligations into monthly, quarterly, annual and ongoing checklists
  • Operate as a responsible entity, trustee or investment manager of managed investment schemes for wholesale and institutional investors
  • Need clear sign-offs, escalation lines and registers so the Board and Compliance Officer can see what is due, by when and by whom
It is suited to:
  • AFSL holders acting as responsible entities, trustees or investment managers
  • Fund managers with property, derivatives, custody or debt exposures across their Fund portfolio
  • Licensees serving wholesale and institutional investors
  • Compliance Officers, Boards and Responsible Managers consolidating policy obligations into one operating calendar
What this framework covers:
  • Business background and purpose, aligned with Corporations Act 2001 (Cth) and ASIC RG 104, RG 105 and RG 259
  • Governance structure and roles, including the Board, Compliance Officer, Responsible Managers and a three lines model
  • A consolidated list of your compliance policies, with guidance to tailor it to your actual policy suite
  • A risk-based approach that links compliance risk to monitoring frequency
  • Escalation and breach reporting pathway consistent with RG 78 and the current reportable situations relief settings
  • Checklists 1 to 4 setting out monthly, quarterly, annual and ongoing/daily compliance tasks
  • Annexures A to C register templates for conflicts of interest, breaches and complaints
  • Training, culture and assurance, compliance resources and annual review, plus a key legislation and regulatory guides table with live links
You receive an editable Word document with placeholders for your company name, ACN, AFSL number and policy list, supported by drafting notes and worked examples throughout. It is a practical, lawyer-drafted starting point for consolidating your compliance obligations; complex, high-risk or unusual 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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