Licensing and compliance
This section contains information and links that provide you easy access to the relevant legislation and important information surrounding your licensing obligations.
Licensing
For accurate, clear and current information on licensing requirements, visit the Regulatory Road Map on the ASIC website.
- Understanding your licence conditions
- Licence authorisations
- Appointing authorised representatives
- Compensation arrangements
- Changing your Responsible Manager details
- Obtaining a police check
Compliance
- Complying with your licence
- Compensation and insurance arrangements
- Reference checking
- Conflicts of interest
- Privacy plan
- Compliance plan
- Hawking and retail client cooling off period
- Compliance documentation
- What you need to monitor
- Breach reporting
- Authorised representatives or distributors
- Common compliance errors
- Insurance broker disclosure requirements in Australia