Tools to complement your RM & compliance professional... We think it is important that you can concentrate on training, personal interaction and submission of mandatory documentation. ASDA has a suite of resources for existing and new AFSL’s to liberate your management and compliance people.
Market Integrity Rules for Indirect Market Participants Download our self assessment questionnaire to ready yourself for what is certain to be an emerging topic for your business.Compliance_files/SAQ-V3.doc

Whilst regulation issues evolve, ASDA is working to bring AFSL’s into the mindset of the regulator by bringing issues into consciousness including:


  1. BulletDisclosing AND managing risks.

  2. BulletHandling of client monies.

  3. BulletSystems that link management & operations

  4. BulletOrder record keeping

  5. BulletCorporate governance structures

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