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Automate your AFSL compliance

 

6clicks makes it easy to implement policies, manage compliants, identify risks, issues and incidents, and collect evidence you'll need to get ensure ongoing compliance with your Australian financial services Australian financial services license (AFSL) obligations.

Join the 100's of companies that trust 6clicks for risk and compliance

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What is an AFS license?

An AFS licence is required to conduct a financial services business in Australia and authorises licensees to provide financial product advice to clients; deal in a financial product; make a market for a financial product; operate a registered scheme; provide a custodial or depository service; and provide traditional trustee company services.
 

Here's how 6clicks automates your AFSL, compliance, quickly:

Library-1

 

Leverage our massive content library to get the necessary artifacts in place quickly and efficiently
The 6clicks marketplace of content includes standards, laws, regulations, assessment templates, policies, control sets, risk libraries, incident playbooks and risk methodologies to help you get up and running quickly. 
 

Asset 63

 

Use requirements based assessments to establish your control effectiveness
Prepare a control effectiveness report against the requirements of each of the ASIC regulatory ruides (RGs) and track their implementation status.
 
 

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Run attestations to attest to the performance of control responsibiliteis
Control owners will be reminded to attest to the performance of the responsibilities based on the frequency agreed.
 
 
 

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Identify and manage information assets to link to risks, issues, and incidents
Know what need to protect and how much you need to protect it by keeping track of your information assets, owners, classifications, related systems and related third-parties in 6clicks.
 

Digital Repository

 

Identify and manage information assets you can then link to risks, issues and incidents
Know what it is you need to protect and how much you need to protect it by keeping track of your information assets, owners, classifications, related systems and related third-parties in 6clicks.
 
 

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Automate your compliants management processes using 6clicks Integrations
Use 6clicks Integrations to automate the complaints management processes for your business in accordance with Regulatory Guide 271 – Internal Dispute Resoluton (IDR).
 
 
 

Features to put you in control

And here's some specific features to help kick-start and automate your AFSL, compliance:

70 Pre-Defined Controls

AFSL obligations have been linked to procedures and processes needed to regulate, guide, and ensure compliance with licence requirement.

Fully Customizable

Procedures, processes, impacted regulations, responsibilities, tasks and frequencies associated with each control are fully customizable to meet AFSL needs.

Integrated Risk Capability

AFSL controls can be linked to compliance risks in risk library, assessments completed and reported to board and senior management.

Integrated Obligations and Responsibilities

AFSL obligations have been linked to procedures and processes needed to regulate, guide, and ensure compliance with licence requirement.

Control Attestation

Control owners will be reminded to attest to the performance of the responsibilities based on the frequency agreed.

Control Monitoring

AFSL control effectiveness monitoring can be completed by linking controls to test questionnaires and then collecting supporting evidence.

Are you a consultant or advisor?

Learn more about how the 6clicks partner program can streamline your service delivery and accelerate implementation of your ISO 27001 compliance certification.

 

Useful Resources

Learn more AFSL licensing and best practises.
Calculating Business Risk vs. Financial Risk

Calculating Business Risk vs. Financial Risk

Pooja Shah

The operation of a business at any level, in any department, involves risk. Therefore, it is crucial that every person in an organisation understands...

A Quick and Easy Digital Solution for ASIC RG 271

A Quick and Easy Digital Solution for ASIC RG 271

Anthony Stevens

It is now mandatory to comply with ASIC Regulatory Guide (RG) 271. Are you ready? You know all about the complexities of managing customer complaints...

Third-Party Risk Management: In the Hot Seat with APRA

Third-Party Risk Management: In the Hot Seat with APRA

Anthony Stevens

  Summary On November 7, 2018, the Australian Prudential Regulation Authority (APRA) released the final version of its prudential standard on...

Everything you need to ensure ongoing AFSL compliance.

Accelerate and simplify AFSL compliance through automation with 6clicks in as little as 10 days.