Lodge online

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How to lodge

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Lodge online

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Financial services compliance




Complying with your licence

Your ongoing obligations as an AFS licensee: conduct and disclosure, training, managing conflicts of interest, business resources, dispute resolution and compensation arrangements

Breach reporting

You must tell ASIC about possible breaches of your licence

Changes you must tell us about

These include:
  • changes to your licence details
  • changes to your authorised representatives, or their details
  • changes to auditors
  • changes in ownership of the license

Update details and lodge forms

Check and change your details online
How to lodge your annual accounts and audit report

Disclosure

Disclosure and product disclosure statements

Training

Training of financial product advisers

Dispute resolution

Dispute resolution schemes and how we approve them

Codes of practice

Copies of codes of practice
Monitoring compliance with the codes of practice
Compliance with codes of practice

Resources

Resources for financial services professionals including:

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