Obligations Register
$395.00
A detailed and comprehensive list of all relevant AFS Licensee obligations under the Corporations Act, the ASIC Act, the Privacy Act and any applicable industry codes that may apply to general insurance brokers AFSL holders, including guidance on whether each obligation, if breached, is considered a reportable situation to ASIC under the Deemed Significance test as per Regulatory Guide 78.
All AFS Licensees must have documented compliance measures to ensure adherence to general obligations, licence conditions, and applicable financial services laws.
The Obligations Register is a detailed listing of all relevant AFS Licensee obligations for the general insurance broking sector, covering:
- General obligations under s912A & s912B
- Specific obligations, including Chapter 7 of the Corporations Act and consumer protection under the ASIC Act
- Australian Privacy Principles (Privacy Act 1988)
- ASIC Regulatory Guides
- Insurance Brokers Code of Practice 2022
It also provides guidance on whether a breach is a reportable situation to ASIC under the deemed significance test as per Regulatory Guide 78.
Available in excel, the register is easy to filter and use for reporting.
This Obligations Register is also available as a bundled Compliance Policy Pack with the following additional documents / resources:
- Compliance Policy
- Regulator Reporting Table
- Key Compliance Schedule
- Incident Notification and Assessment Form
- Incident and Breach Register
Wright Compliance Management documents are available for immediate download after purchase. All policies contain instructions on how to customise. If you have any queries or need assistance, please contact us.