ASIC · Wholesale managers • initial coverage
ASICAttesta for Australia
Boutique investment managers holding their own AFSL and serving wholesale clients.
Initial coverage. Local practitioner/counsel review and outstanding requirements are pending; scope is agreed before use.
Workflows in the current package
- AFSL annual-account calendar tasks and filing evidence.
- ASIC reportable-situation notice records, with decisions and submission references.
- Conditional AUSTRAC annual-report reminders and internal incident escalation.
Agree the scope before you start
- Retail, responsible-entity, CCIV, IDPS and superannuation obligations are not included.
- Wholesale-client classification, AUSTRAC suspicious-matter reporting and complete significance/relief assessment are not included.
- Australian practitioner/counsel review and local public-holiday calendars remain pending.
See how the work comes together
Approvals, deadlines and supporting documents stay linked to the records they support. Human decisions remain with the firm. Filings are submitted through the relevant external systems; Attesta keeps the reference and evidence.
Reduce repeated administration
- Keep approval requests, supporting evidence and decisions on the same record.
- Use owners, deadlines and reminders to make follow-up work visible.
- Find the filing reference and documents when a reviewer asks, rather than collecting them again.
Coverage summary: October 2026. General workflow support does not imply every legal requirement, licence type or fund structure is supported.