ASIC's Regulatory Guide 104.21 says it pretty clearly. ASIC expects you to:

  • (a) document your measures in some form (see RG 104.23);
  • (b) fully implement them and monitor and report on their use (see RG 104.24–RG 104.27); and
  • (c) regularly review the effectiveness of your measures and ensure they are up-to-date (see RG 104.28–RG 104.29).

Using our Process Designer you are able to build and automate workflows for everything within your AFSL.



Powerful Automation

Every aspect of an AFSL should (and can be) run by workflows to enable as much automation as possible. For this reason, and based on over 20 years of designing processes for the financial planning industry, the Captegra Process Library will provide you with everything you need to design your own efficient and compliant AFSL business model.