This procedure* is to meet the requirements of s912A(1)(aa) of the Corporations Act, which came into force on 1 January 2005. In particular, it:
- meets all the requirements of ASIC Regulatory Guide (RG) 181 - Managing Conflicts of Interest;
- includes all the conflicts disclosure requirements which must be dealt with in SoAs and FSGs; and
- includes a conflicts of interest register.
Note: the procedure is not designed to satisfy the FPA Code of Practice on Alternative Remuneration.
* 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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