Regulatory Alerts2026-03-09 | RG-104RG 104 AFS licensing: Meeting the general obligations
The Australian Securities and Investments Commission issued this guide to assist AFS licensees and applicants in understanding regulatory expectations. It details the specific criteria the regulator uses to assess compliance with most general obligations under section 912A(1) of the Corporations Act. The document explicitly excludes certain general obligations, which are addressed in separate regulatory guides listed in Table 1 of Section A.
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