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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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    • Australian Financial Services Licences
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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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      Specific-things-that-are-financial-products.docx
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      ASIC Report 429: Cyber resilience: Health check
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      ASIC Regulatory Guide 166: Licensing: Financial requirements
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      International Monetary Fund: Macrofinancial Stress Testing — Principles and practices
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      IOSCO Principles of Liquidity Risk Management for Collective Investment Schemes
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      FSB Policy Recommendations to Address Structural Vulnerabilities from Asset Management Activities
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      ASIC Regulatory Guide 259: Examples of risk treatments of governance risks
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      ASIC Regulatory Guide 259 Appendix: Examples of risk treatments for strategic risks
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      ASIC Regulatory Guide 259: Examples of risk treatments for strategic risks
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      ASIC Regulatory Guide 259: Examples of risk treatments of general operational risks
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      ASIC Regulatory Guide 259: Examples of risk treatments of investment governance and structure risks
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      ASIC Regulatory Guide 259: Examples of risk treatments of liquidity risks at the entity level
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      ASIC – AFS licensing kit
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