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Third Party Authority Form ISSUED 1 November 2023 FUND ABN 45 960 194 277 | USI 45 960 194 277 020Complete this form to allow a third party (other than a financial advisor) to request information
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How to fill out general compliance certificate

01
Obtain a copy of the general compliance certificate form from the appropriate regulatory agency.
02
Fill in the required information such as your company name, address, contact details, and any other relevant details.
03
Review the compliance requirements listed on the form and ensure that your business meets all the necessary criteria.
04
Sign and date the form to certify that the information provided is accurate and complete.
05
Submit the completed form to the regulatory agency either electronically or by mail as per their instructions.

Who needs general compliance certificate?

01
Businesses that are required to comply with specific regulations and standards set by the governing body or industry associations typically need to obtain a general compliance certificate.
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The general compliance certificate is a document that certifies that a company or individual is in compliance with all relevant laws and regulations.
Any company or individual that is subject to regulatory oversight and compliance requirements may be required to file a general compliance certificate.
The general compliance certificate typically requires the individual or company to provide information about their compliance efforts, actions taken to remain in compliance, and any potential areas of non-compliance.
The purpose of the general compliance certificate is to demonstrate to regulatory authorities, investors, and other stakeholders that the individual or company is operating in accordance with all applicable laws and regulations.
The general compliance certificate may require information on specific regulations, compliance efforts, risk management strategies, and any instances of non-compliance.
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