Useful Resources

If you need any further information please refer to:

  • RG 1:  AFS Licensing Kit:  Part 1 – Applying for and varying an AFS licence
  • RG 2:  AFS Licensing Kit:  Part 2 – Preparing your AFS licence or variation application
  • RG 3:  AFS Licensing Kit:  Part 3 – Preparing your additional proofs
  • RG 105:  Organisational competence
  • RG 126:  Compensation and insurance arrangements for AFS licensees
  • RG 166:  Licencing:  Financial requirements
  • Info sheet 179:  Applying for a limited AFS licence
  • Corporations Act 2001
  • Corporations Regulations 2001

 

For further information about your ongoing obligations,  please refer to:

  • RG 104:  Licensing:  Meeting the general obligations.
  • RG 126:  Compensation and insurance arrangements for AFS licensees
  • RG 146:  Licensing:  Training of financial product advisers
  • RG 165:  Licensing:  Internal and external dispute resolution
  • RG 166:  Licensing:  Financial requirements
  • RG 175:  Licensing:  Financial product advisers – conduct and disclosure
  • RG 181:  Licensing:  Managing conflicts of interest
  • RG 244:  Giving information,  general advice and scaled advice
  • RG 245:  Fee disclosure statements
  • RG 246:  Conflicted remuneration

 

You may obtain copies of regulatory guides noted above from ASIC’s website.

Please also see our News and Publications page.

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