AU-4 Information Requirements and Processes
- AU-4.1 Licensing
- AU-4.2 Variations to a License
- AU-4.3 [This section was moved to AU-3.2 in October 2017]
- AU-4.4 Cancellation of Authorisation
- AU-4.5 Publication of the Decision to Grant, Cancel or Amend a License
- AU-4.6 Additional Requirements for Licensing of Crowdfunding Platform Operator
-
AU-4.7 Additional Requirements for Payment Service Providers, PISPs and AISPs
- Business plan
- Programme of Operations
- Governance arrangements and internal control mechanisms
- Business continuity arrangements
- Internal Control Mechanisms to comply with AML/CFT obligations
- Procedure for monitoring, handling, and following up on security incidents and security-related customer complaints
- Process for filing, monitoring, tracking and restricting access to sensitive payment data
- Security policy documentation