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    Our legal obligations register, along with our alerts and tools, helps you make clear decisions by providing you with focused, current and relevant compliance obligations content across all of our modules.

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    Module
    • Asset Management
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    Obligation
    • Australian Financial Services Licences
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      ASIC – Search ASIC registers: organisations and business names
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      Corporations Act 2001 (Cth) s 764A - Specific things that are financial products
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      ASIC Regulatory Guide 166: Licensing: Financial Requirements
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      ASIC PF 209 - Australian financial services licence conditions
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      ASIC Regulatory Guide 259 - Risk Management of Responsible Entities
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      ASIC Regulatory Guide 259: Risk Management Systems of Responsible Entities
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      ASIC Regulatory Guide 259: Risk Management Systems of Responsible Entities
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      ASIC Regulatory Guide 259: Risk Management Systems of Responsible Entities
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      Standard for Automatic Exchange of Financial Information in Tax Matters – Implementation Handbook
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      Financial Services Council and Financial Planning Association of Australia - Managing AML/CTF, FATCA and CRS Customer Identification Obligations
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      Australian Taxation Office - Automatic exchange of information guidance – CRS and FATCA
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      FSC/FPA Industry Guidance (being FSC Guidance Note No. 24) Managing AML/CTF, FATCA and CRS Customer Identification Obligations
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      Signatories of the Multilateral Competent Authority Agreement on Automatic Exchange of Financial Account Information and Intended First Information Exchange Date
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      Australian Financial Complaints Authority – Apply for membership
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      Australian Financial Complaints Authority (AFCA): Operational Guidelines to the Rules
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      ASIC – Form 5112 Application for consent from ASIC to remove compliance plan auditor
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      ASIC – How to appoint authorised representatives
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      AASB 10 Consolidated Financial Statements
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      ASIC Report 429: Cyber resilience: Health check
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      International Monetary Fund: Macrofinancial Stress Testing — Principles and practices
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      • Education in Non-State Schools
      • Facilities Management
      • Finance & Leasing Companies
      • Financial Advisory
      • Food Service to Aged and Other Vulnerable Persons
      • Institutional Investment
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