| Your obligations as an AFS licensee Complying with your obligations Changes you must tell us about Lodging information with us Appointing and ceasing auditors Lodging your annual accounts and audit report Applying for relief Managed investment schemes Breach notification Disclosure Compliance FAQs | Change details/lodge forms online Amend/vary licence authorisations and conditions; change details; appoint/revoke authorised reps, auditors; lodge annual accounts and auditor report If you don't have a user name and password, apply now  AFS licensees Authorised repsService availability | Browser requirements |
| AFS licensee requirement/obligation | Regulatory guide |
| Financial requirements (eg solvency and cash) | Regulatory Guide 166 Licensing: Financial requirements |
| Responsible managers (qualifications and experience) | Regulatory Guide 105 Licensing: Organisational competence |
| Monitoring, supervising and training your representatives (including authorised representatives) | Regulatory Guide 104 Licensing: Meeting the general obligations Regulatory Guide 146 Licensing: Training of financial product advisers |
| Compliance and risk management | Regulatory Guide 104 Licensing: Meeting the general obligations |
| Technological and human resources | Regulatory Guide 104 Licensing: Meeting the general obligations |
| Managing conflicts of interest | Regulatory Guide 181 Licensing: Managing conflicts of interest |
| Dispute resolution (internal and external) | Regulatory Guide 165 Licensing: Internal and external dispute resolution |
| Compensation and insurance arrangements | Regulatory Guide 126 Compensation and insurance arrangements for AFS licensees |
| Compensation arrangements (security bonds and professional indemnity insurance) | Regulatory Guide 167 Licensing: Discretionary powers and transition |
| Conduct and disclosure | Regulatory Guide 168 Disclosure: Product Disclosure Statements (and other disclosure obligations), and Regulatory Guide 175 Licensing: Financial product advisers — Conduct and disclosure |