As this assessment is conducted within the context of the business and the team of Responsible Managers, we require the following documentation.
- Business Description (A5) core proof for the licence
- ASIC authorisations under the licence
- Organisational Competence (B1) core proof. If this is not available, then a detailed CV of each person who is seeking to become a RM
On receipt of the documentation, we provide a Proposal detailing the process, timeframe and fees.
On successful completion of the assessment, you will receive a Certificate of Attainment confirming that you have satisfied, via Option 2 in RG105, the requirements in respect of the financial services detailed in your AFS licence.
What is an Individual Assessment?
Individual assessment means an assessment of a person’s capability to undertake their current duties, taking into account their previous work experience. Individual assessment must be carried out by an authorised assessor.