any other measures and controls you have RG249.138(c) Other measures put in place to ensure that conflicts of and controls interest are identified, managed and disclosed. Inventory and mitigation of conflicts of interest Please ensure your application contains an inventory of existing material conflicts of interest in relation to any services provided by you. The inventory must: be up to date at the time of your application; RG249.139(a) Up to date include a description of how these existing RG249.139(b) Description of material conflicts of interest are being management managed; and where you are part of a group, include any RG249.139(c) Other material conflicts of interest arising from undertakings other undertakings within the group. Part 8 Resources and procedures Checklist – Answer all information requests Legal and Application cross Regulation references references Give us enough information so we have a complete picture of how Refer to the Tab, page, paragraph your trade repository operates. If you think any item doesn't apply reference below on the application to your trade repository, explain why it is irrelevant. for guidance and where the question/ more information item is addressed. Information technology resources and outsourcing Your application must include a description of the following items. We may also require you to include a written confirmation from an independent third party (with the scope of the work approved by ASIC) relating to your operational readiness and the adequacy of your governance framework and all of your information technology systems.
Other measures and controls any other measures and controls you have put in place to ensure that conflicts of interest are identified, managed and disclosed. RG249.138(c) Inventory and mitigation of conflicts of interest Please ensure your application contains an inventory of existing material conflicts of interest in relation to any services provided by you. The inventory must: Up to date be up to date at the time of your application; RG249.139(a) Description of management include a description of how these existing material conflicts of interest are being managed; and RG249.139(b) Other undertakings where you are part of a group, include any material conflicts of interest arising from other undertakings within the group. RG249.139(c) Part 8 – Resources and procedures Checklist Answer all information requests Legal and Regulation references Application cross references Give us enough information so we have a complete picture of how your trade repository operates. If you think any item doesn't apply to your trade repository, explain why it is irrelevant. Refer to the reference below for guidance and more information Tab, page, paragraph on the application where the question/ item is addressed. Information technology resources and outsourcing Your application must include a description of the following items. We may also require you to include a written confirmation from an independent third party (with the scope of the work approved by ASIC) relating to your operational readiness and the adequacy of your governance framework and all of your information technology systems.
adtr-licence-application-kit-april-2015.docx