Regulatory Intelligence
What financial and insurance information should be ready before a D067 filing?
Category:
Licence Eligibility
Research Basis
Archive Period
2019
Records Reviewed
4
Primary Topics
financial statements; Schedule 3; bank statement; insurance; orphan fund fee
Current Reference
AER Directive 067; Bulletin 2026-06
Common Question
What financial and insurance information should be ready before a D067 filing?
Archive Findings
The archive expected financial support, insurance proof, and the orphan fund fee to be assembled with the eligibility package.
Where audited statements were not available, the correspondence anticipated explaining the gap and providing other financial support, with follow-up financial reporting after eligibility was granted.
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Engineering Insight
Collect the financial package before starting the filing. Missing financial statements, insurance details, or fee support can turn a simple eligibility request into a delay.
Current Guidance
Current Directive 067 requires financial statements and Schedule 3 information, and it requires comprehensive general liability insurance with at least $1,000,000 coverage. Bulletin 2026-06 confirms Schedule 3 is submitted through OneStop.
Related Regulatory Insights
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