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Australian Financial Services Licence

Australian Financial Services Licence (AFSL) is a legal licence provided by the Australian Securities and Investments Commission (ASIC) enabling the operation and activities of Australian financial services businesses. It is a legal requirement for any Australian financial service business to obtain an AFSL from the day business operations begin unless pr…

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Requirement for an AFSL

SecuritiesFinancial plannersCompanyAccountingInvestment
7 related topics

Process of obtaining and application

InsuranceDispute resolutionCash flow
3 related topics

Overview

Australian Securities and Investments CommissionAustralianFinancial servicesLegalLicence
12 related topics

Obligations and requirements of licensees

Unfair business practicesFinancial adviser
2 related topics

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Overview

Requirement for an AFSL

Process of obtaining and application

Obligations and requirements of licensees

Legal implications

Consumer help

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Map overview Semantic statistics

Australian Financial Services Licence

Nodes34
Edges33
Triples12
Avg. degree1.94
Density0.058824
Components1

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Important terminology Word statistics

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Important terminology

financial afsl asic services business licence corporations act licensees ensure provide 2001 required including must obligations application applicants provided service

Entity relationships Subject–Predicate–Object triples

SubjectPredicateObjectConfidenceSrc
the common provision of an investment strategy templateinstance ofparticularly for dealings of self-managed superannuation funds0.80text
a description of your businessinstance ofassisting in preparing core supporting documents0.80text
financial resourcesinstance ofassisting in preparing core supporting documents0.80text
any additional documents that may be required in the application processinstance ofassisting in preparing core supporting documents0.80text
complying to conditions outlined under the AFSLinstance ofhonestly and fairly.To follow risk obligations by having adequate risk management systems.To follow compliance obligations0.80text
financial services law.To follow HR obligations including adequately training representatives to ensure competency when providing financial services.To follow conflict of interest obligations by having a dispute resolution system that satisfies s912Ainstance ofhonestly and fairly.To follow risk obligations by having adequate risk management systems.To follow compliance obligations0.80text
failing to report breaches or upholding a suffice dispute management program ASIC may be required to cancel the business's licence.AFS licensees must ensure they update information on their Financial Advisers Register with ASIC within 30 days allowing consumers to research into the licenseeinstance ofIf licensees fail to undertake the responsibilities under their obligations0.80text
therefore protect them against potential unfair business practicesinstance ofIf licensees fail to undertake the responsibilities under their obligations0.80text
an accountant were to be unlicensedinstance ofIf an AFS business0.80text
it is still prudent that they should still provide assistance to the consumers by recommending that they obtain advice from a financial adviser who is licensedinstance ofIf an AFS business0.80text
qualified to do so.Any client interaction with an AFS Licenseeinstance ofIf an AFS business0.80text
requires the provision of a Financial Services Guide to assist the client before any financial product advice is provided by the licenseeinstance ofIf an AFS business0.80text

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