AFSL Status: Active & Current
AFSL 456789 | OBP Platform Pty Ltd | Next Audit: June 30, 2026
Licensed
Surplus Liquid Funds
$1700K
213% of requirement
Net Assets
$15.2M
total net position
Compliance Rate
100%
6/6 requirements
Responsible Managers
3
ASIC approved
Australian Financial Services License Details
License Information
AFSL Number:456789
License Holder:OBP Platform Pty Ltd
Issue Date:March 15, 2020
Authorised Reps:12
Authorisations
Provide financial product advice
Deal in a financial product
Operate managed investment schemes
ASIC Financial Returns (FS70/FS71)
| Reference | Return Name | Frequency | Description | Last Filed | Next Due | Status |
|---|---|---|---|---|---|---|
FS70 | Annual Audited Financial Statements | Annual | Annual audited profit & loss and balance sheet | September 30, 2025 | September 30, 2026 | Filed |
FS71 | Quarterly Profit & Loss Statement | Quarterly | Unaudited quarterly financial performance | October 31, 2025 | January 31, 2026 | Filed |
FS72 | Annual Financial Review | Annual | Accountant's report on financial position | September 30, 2025 | September 30, 2026 | Filed |
Breach | Breach Notification Register | Ongoing | 10-business day breach reporting | N/A | As required | Current |
Financial Position Summary
As reported in FS70 Annual Return
Balance Sheet
Total Assets$18.50M
Current Assets$12.80M
Net Assets$15.20M
Profit & Loss (FS71 Q3 2025)
Revenue (YTD)$8.50M
Operating Profit (YTD)$2.10M
Profit Margin24.7%
Surplus Liquid Funds (RG 166)
Adjusted Surplus
$3.20M
Required Minimum
$1.50M
Surplus Above Min
$1.70M
Responsible Managers
Key persons responsible for AFSL obligations under s912A(1)(g)
| Name | Role | AR Number | Approval Date | Status |
|---|---|---|---|---|
| Michael Chen | Responsible Manager - Investment Management | RM12345 | March 2020 | Active |
| Sarah Williams | Responsible Manager - Compliance | RM12346 | March 2020 | Active |
| David Robertson | Responsible Manager - Operations | RM12347 | June 2020 | Active |
AFSL Compliance Requirements
| Requirement | Category | Description | Status |
|---|---|---|---|
| RG 146 Training & Competence | Authorised Representatives | All advisers meet ASIC competency standards | Compliant |
| Adequate Resources (RG 166) | Financial Resources | Surplus liquid funds exceed minimum requirements | Compliant |
| Risk Management System (RG 104) | Operational | Documented risk management framework | Compliant |
| Compliance Plan (s601HA) | Managed Funds | Annual compliance plan and audit for registered schemes | Compliant |
| Conflicts of Interest (s912A) | Conduct | Conflicts management policy and disclosures | Compliant |
| Professional Indemnity Insurance | Insurance | PI cover meets s912B requirements | Compliant |
ASIC Regulatory Framework
Corporations Act 2001 (s912A)
General obligations of AFS licensees including maintaining competence, having adequate resources, managing conflicts, and complying with financial services laws.
RG 166: Licensing - Financial Resources
Requirements for maintaining adequate financial resources including net tangible assets, cash needs, and surplus liquid funds reporting.
RG 146: Training of Financial Product Advisers
Competency standards for financial advisers including knowledge and skills requirements, continuing professional development, and compliance procedures.
RG 104: Licensing - Meeting Risk Management Obligations
Risk management systems for AFS licensees covering operational, compliance, and financial risks with appropriate controls and monitoring.
Key Contacts
- ASIC Regional Office: Sydney
- Portal: ASIC Regulatory Portal
- Last ASIC Contact: August 2024
- Auditor: PwC Australia
Upcoming Deadlines
- FS71 Q4 2025: January 31, 2026
- Annual FS70: September 30, 2026
- PI Insurance Renewal: March 15, 2026
- Compliance Plan Audit: June 30, 2026