This procedure* is essential in assisting the licensee to comply with its breach reporting obligations under s912D of the Corporations Act. This procedure:
- assists in compliance with RG 104 - Licensing: Meeting the general obligations;
- contains a breach register and a breach reporting form which works through whether the breach is significant or not; and
- is benchmarked against ASIC's breach reporting guide.
* This procedure will not comply with the regulatory requirements if it is not correctly tailored to your particular business. Compact - Compliance & Corporate Training is not responsible for the upkeep of this procedure once purchased by the licensee. The content of this procedure will vary depending on legislative and policy changes and updates, as well as the nature of the licensee. This procedure is current on the date of purchase.
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