IAR Attestation First NameLast NamePhoneEmail AddressEntity NameWhat is the company name you operate under?Questions1. To the best of your knowledge, has anything come to your attention that would indicate that you have NOT complied with the terms and conditions of your Corporate Authorised Representative Agreement with Boutique Capital? Terms and conditions of the CAR Agreement include but are not limited to the following: Avoiding unauthorised acts; not to make any mis-representations; adhere to the 'performance of duties'; comply with applicable laws; etc.If Yes, please provide detailsYesNoDetails2. To the best of your knowledge, has anything come to your attention that would suggest that you have NOT complied with any financial services law? If Yes, please provide details.YesNoDetails3. Are you aware of the Insider trading laws per section 1043A of the Corporations Act and have these been abided by?YesNo4. Have you conducted any work or activities which were outside the parameters of your client agreement (eg IM, Engagement Letter)?YesNoDetails5. Were all activities involving investors limited only to wholesale investors?YesNoDetails6. Is there a certified accountants certificate or other recognised wholesale certificate on file for all new investors during the relevant period? If No please provide details.YesNoDetails7. Are you aware of your compliance responsibilities as an Authorised representative of Boutique Capital?YesNo8. Have you read and understood any recent compliance policies distributed by Boutique Capital during the period, including the new AR Manual?YesNoN/A8. Are you aware of your compliance responsibilities as an Authorised representative of Boutique Capital?YesNoN/A9. Have you been appointed as an Authorised Representative of another AFS Licensee (apart from Boutique Capital)? If yes provide details.YesNoDetails10. In the relevant period, are you aware of any breaches that have not already been reported to Boutique Capital? If yes provide details.YesNoN/ADetails11. Are you aware of the risks associated with the Investment(s) in which you deal? If no, please provide detailsYesNoDetails12. Have you identified any conflict of interest that has arisen between your entity and any of its investors? Conflicts of interest are circumstances where some or all of the interests of the AR’s clients are inconsistent with, or diverge from, some or all of the interests of the AR’s business and any other businesses under the AFSL. This includes actual, apparent or potential conflicts of interest. If yes provide details.YesNoDetails13. Are you aware of your training requirements as set out in the AR Manual? Boutique Capital requires its ARs to complete a minimum of twelve (12) hours of CPD training each financial year. The type and subject matter of the training should be relevant to your business and include topics relating to financial services.YesNo14. Have you undertaken any training this quarter ?YesNo15. If yes to the previous question, has training which has been completed during the relevant period been recorded within the training register? Please note this will need to be provided to the compliance team and discussed during the attestation meeting.YesNoN/A16. If internal training has been provided by Boutique Capital Training has it been completed?YesNoN/A17. Was there any advertising, promotional material and/or investor communications distributed during the period?YesNo18. Was all advertising, promotional material and / or investment communications in line with ASIC RG234 and provided to Boutique Capital Compliance for review prior to distribution?YesNo19. Have there been any recent changes to your website?YesNo20. If yes, have the changes been reviewed by Boutique?YesNoN/A21. Were there any complaints received directly to the CAR during the relevant period? A complaint is an expression of dissatisfaction made to or about an organisation, related to its products, services, staff or the handling of a complaint where a response or resolution is explicitly or implicitly expected or legally required.YesNo22. If you answered yes to the above, was Boutique Capital notified? Has this been recorded in your internal complaints register?22. Does your business have a business continuity plan (BCP) in place, inclusive of a disaster recovery plan (DRP)?YesNoSend Message
