RG 104 Licensing: Meeting the general obligations
Issued 1 July 2015
This is a guide for Australian financial services (AFS) licensees and licence applicants.
This guide describes what we look for when we assess compliance with most of the general obligations under s912A(1) of the Corporations Act 2001 (Corporations Act).
The general obligations not covered in this guide are covered in separate guides: see Table 1 in Section A.