Australian Financial Services Licensing (AFSL) Forum

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  • #5176 Reply

    David Reid

    Does anyone have a template engagement contract?

    #5177 Reply


    Do you mean an employment contract incorporating the role as RM?

    #5180 Reply

    Grant Holley

    Hi David,


    Thank you for your post.


    The terms of an engagement contract will depend greatly on the nature of the engagement.


    Holley Nethercote and Compact have extensive experience in the financial services sector.


    At Holley Nethercote, we provide a range of legal services including assistance with the development and review of Responsible Manager (RM) agreements, Authorised Representative agreements, and other engagement contracts.  We can also provide advice regarding the appointment of an RM and their ongoing obligations.


    Feel free to contact our financial services team if you would like to discuss our services further.


    Compact provides training and compliance services to businesses, industry bodies and government regulators.  When you have engaged an RM, you may be interested in our half-day training course for RMs which covers topics such as their role and obligations.  More information can be found here.


    Author: Grant Holley (Partner)

    Co-contributor: Nicolette Tan (Law Clerk)

Viewing 3 posts - 1 through 3 (of 3 total)



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