Notifying ASIC of Breaches and Events Procedure
$600.00 (inc. GST)
This procedure sets out how to comply with significant breaches and other events to ASIC, under section 912D of the Corporations Act and other legislative provisions. It:
- assists in compliance with ASIC’s RG 104 (Licensing: Meeting the general obligations);
- contains a template breach register and breach reporting form to help you assess whether the breach is significant and, therefore, reportable to ASIC;
- reflects ASIC’s RG 78 (Breach reporting by AFS licensees); and
- lists events which must be notified to ASIC in what timeframes.