Getting an AFS licence

Other regulatory index topics | About the regulatory index

AFS licensing kit

See also

Home > For finance professionals > AFS licensees > Applying for and managing an AFS licence

Home > Regulatory resources > Find a document > Reports > Licensing and professional registration applications

RG 1 Applying for and varying an AFS licence (AFS Licensing Kit: Part 1)

RG 2 Preparing your AFS licence application (AFS Licensing Kit: Part 2)

RG 3 Preparing your additional proofs (AFS Licensing Kit: Part 3)

INFO 86 How do RSE and AFS licensing application processes work together (see 19-175MR)

INFO 240 AFS licence applications: Providing information for fit and proper people and certain authorisations

Treatment of lease assets (New - April 2021)

21-088MR ASIC allows certain AFS licensees to use lease assets to satisfy their licence financial requirements

See

ASIC Corporations (Licence Conditions—Treatment of Lease Assets) Instrument 2021/229

RG 166 Licensing: Financial requirements

[CO 12/752] Financial requirements for retail OTC derivative issuers

[CO 13/760] Financial requirements for responsible entities and operators of investor directed portfolio services, and

[CO 13/761] Financial requirements for custodial or depository service providers.

PF 209 Australian financial services licence conditions

REP 689 Response to submissions on CP 336 Financial requirements: Treatment of lease assets (see CP 336 and submissions; and 20-322MR)

20-158MR ASIC issues no-action position to allow right-of-use lease assets to count in satisfying AFS licensee requirements

See also

Home > For finance professionals > AFS licensees > Applying for and managing an AFS licence > AFS licensing – more information > No-action position on right-of-use lease assets

Back to top

 

Do you need a licence?

See also

Home > For finance professionals > AFS licensees > Do you need an AFS licence

Regulatory index topic: Financial services - Financial services relief - licensing relief

RG 36 Licensing: Financial product advice and dealing

RG 49 Employee share schemes

RG 67 Real estate companies

RG 80 Managed investment schemes – interests not for money

RG 87 Charitable Investment schemes and school enrolment deposits

RG 129 Business introduction or matching services

RG 160 Time-sharing schemes

RG 148 Investor directed portfolio services

RG 162 Internet discussion sites

RG 167 Licensing: Discretionary powers (see 19-129MR)

RG 176 Licensing: Discretionary powers – wholesale foreign financial service providers

RG 236 Do I need an AFS licence to participate in carbon markets?Applying for a licence

RG 1 Applying for and varying an AFS licence (AFS Licensing Kit: Part 1)

RG 2 Preparing your AFS licence application (AFS Licensing Kit: Part 2)

RG 3 Preparing your additional proofs (AFS Licensing Kit: Part 3)

INFO 243 Licensing requirements for providers of funeral expenses facilities (see 20-076MR)

INFO 253 Claims handling and settling: How to comply with your AFS licence obligations (see 21-067MR)

ASIC (Fees—Complexity Criteria) Instrument 2018/578 (see 19-071MR)

Foreign financial services providers

20-058MR Following consultation, ASIC releases new regulatory framework for foreign financial services providers (see also 19-171MR)

See

RG 176 Licensing: Discretionary powers – wholesale foreign financial service providers

INFO 157 Foreign financial services providers: Practical guidance on transitional arrangements

ASIC Corporations (Foreign Financial Services Providers—Foreign AFS Licensees) Instrument 2020/198

ASIC Corporations (Foreign Financial Services Providers—Funds Management Financial Services) Instrument 2020/199

REP 656 Response to submissions on CP 301 and CP 315 on foreign financial services providers (see CP 301 and submissions; and CP 315 and submissions)

21-131MR ASIC extends transitional relief for foreign financial services providers following Federal Budget

See

ASIC Corporations (Repeal and Transitional) Instrument 2016/396

ASIC Corporations (Foreign Financial Services Providers—Limited Connection) Instrument 2017/182

ASIC Corporations (CSSF-Regulated Financial Services Providers) Instrument 2016/1109

See also

Regulatory index topic: Other entities - Foreign financial services providers

 

Back to top

Varying a licence

RG 1 Applying for and varying an AFS licence (AFS Licensing Kit: Part 1)

Back to top

Last updated: 21/09/2021 04:43