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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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    • Reference Material (6)
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    • Asset Management
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    Obligation
    • Australian Financial Services Licences
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    • Market Misconduct and Other Prohibited Conduct
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      Standard for Automatic Exchange of Financial Information in Tax Matters – Implementation Handbook
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      Australian Taxation Office - Automatic exchange of information guidance – CRS and FATCA
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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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      Signatories of the Multilateral Competent Authority Agreement on Automatic Exchange of Financial Account Information and Intended First Information Exchange Date
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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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    • Hyperlink
      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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    • Reference Material
      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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