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.
Issued 23 June 2022
This is a guide for AFS licensees and licence applicants.
This guide describes what we look for when we assess compliance with most of the general obligations under s912A(1) of the Corporations Act.
The general obligations not covered in this guide are covered in separate guides: see Table 1 in Section A.
Download RG 104 (PDF 569 KB)