Request and review an APL approval
Use the APL Approval Register to record a request for a product outside your licensee’s Approved Product List and keep its supporting material and decision together.
Who can do what
Adviser, Full Access and Compliance Manager users can create and maintain APL request records, subject to account access. For Adviser users without a management role, the form uses their own adviser details.
Full Access or Compliance Manager is required to change the approval status or add comments. The separate Email adviser action requires the Compliance Manager role.
Create the request
Select APL Approval Register in the left menu, then Add APL Approval.
Enter Request name and Product name, then choose Product type.
Select Approval type: One Off Approval or General Approval.
Add Client name where relevant and confirm Adviser. Search for an existing client by typing at least two characters and selecting the result. Use Create new client only if a new profile is needed.
Complete Client relevant goal, Comparable APL products and Conflicts as relevant to the request.
Add a Product disclosure statement (PDS) and any Supporting documents, then click Create.
Product types are Cash or Term Deposit, Listed Equity – Outside ASX 300, Managed Fund, Margin Loan, Personal Insurance, Wrap/Super Platform and Other. Register uploads accept PDF, DOC, DOCX, JPG, JPEG and PNG, up to 50 MB per file.
The adviser needs a complete practice assignment and a compliance-manager email address. Creation generates a request report and attempts to notify the compliance manager. Check the result message and saved record; a notification failure can occur after the request has been created.
Review and record the decision
Use search or the All statuses filter to find a request, then open View details. Review the request and download its PDS or supporting files from Documents.
Users with Full Access or Compliance Manager can select Pending, Approved or Declined under Approval status, then click Save status. When Approved is saved, the action includes the signed-in user’s approver details.
Use Add supporting documents and Upload documents to add evidence. Management users can record the decision or follow-up with Add comment.
Send the decision carefully
Compliance Managers can choose Email adviser beside Comments. Check the saved approval status first. Review every part of the prefilled message, including the approval wording, sender’s name, organisation and sign-off, and change it to match the actual decision. Check To, CC and attachments before selecting Send email.
A request record or email draft does not replace your licensee’s approval process. Confirm the saved decision before relying on it.