FSC Forms
Design and Distribution Obligations
Templates
Data Standards
FSC members have developed a suite of data standards to support consistent and efficient communication between product issuers and distributors under the Design and Distribution Obligations (DDO) regime.
These standards are designed to assist a broad range of product issuers, including:
• Fund Managers
• Exchange Traded Product (ETP) issuers
• Listed Investment Companies (LICs) and Listed Investment Trusts (LITs)
• Managed account providers
• Superannuation Funds
• Platforms, wraps and IDPS issuers
• Credit product issuers
The standards may also be used by distributors and intermediaries, including:
• Research houses
• Financial advisers
• Comparison websites
• Platforms, wraps and IDPS providers
What the standards cover
The templates support the exchange of key DDO information, including:
• Distribution of Target Market Determinations (TMDs) from issuers to distributors and third parties
• Complaints reporting, including nil complaints reporting, from distributors to issuers
• Dealings reporting, including significant dealings reports, from distributors to issuers
Available standards and templates:
These standards are designed to assist a broad range of product issuers, including:
• Fund Managers
• Exchange Traded Product (ETP) issuers
• Listed Investment Companies (LICs) and Listed Investment Trusts (LITs)
• Managed account providers
• Superannuation Funds
• Platforms, wraps and IDPS issuers
• Credit product issuers
The standards may also be used by distributors and intermediaries, including:
• Research houses
• Financial advisers
• Comparison websites
• Platforms, wraps and IDPS providers
What the standards cover
The templates support the exchange of key DDO information, including:
• Distribution of Target Market Determinations (TMDs) from issuers to distributors and third parties
• Complaints reporting, including nil complaints reporting, from distributors to issuers
• Dealings reporting, including significant dealings reports, from distributors to issuers
Available standards and templates:
*These documents are provided as permalinks and may be updated periodically without changes to the URL.
**Please note that these documents may be amended over time. Non-members are encouraged to bookmark this page and check regularly for updates.
Templates
DDO Dealings Reporting Example V1.4 (Not For Use)
The FSC has developed a template Distributor Due Diligence Questionnaire (DDQ) to support product issuers undertaking distributor due diligence as part of their obligations under the Design and Distribution Obligations (DDO) regime.
The DDQ is available exclusively to FSC members for optional use. Members are requested not to distribute the document externally or share it with non-members. While use of the template is not mandatory, the FSC encourages issuers to adopt the standardised DDQ rather than applying differing approaches to distributor due diligence across investment platforms, financial advisers and other distribution channels.
The DDQ is available exclusively to FSC members for optional use. Members are requested not to distribute the document externally or share it with non-members. While use of the template is not mandatory, the FSC encourages issuers to adopt the standardised DDQ rather than applying differing approaches to distributor due diligence across investment platforms, financial advisers and other distribution channels.
Form
Distributor Due Diligence Questionnaire (DDQ) - Version 2.0
*These documents are provided as permalinks and may be updated periodically without changes to the URL.
Access for FSC members
FSC Full, Supporting and Associate Members can access and download the DDQ by signing in to their FSC account and selecting the relevant document.
Access for non-members
Access to the DDQ is available exclusively to FSC members. To learn more about FSC membership, including benefits, eligibility and costs, please contact the membership team at info@fsc.org.au.
Access for FSC members
FSC Full, Supporting and Associate Members can access and download the DDQ by signing in to their FSC account and selecting the relevant document.
Access for non-members
Access to the DDQ is available exclusively to FSC members. To learn more about FSC membership, including benefits, eligibility and costs, please contact the membership team at info@fsc.org.au.
Templates
Guidance on Applying DDO to Life Insurance and Managed Funds
The FSC has developed guidance materials to support industry participants in addressing specific Design and Distribution Obligations (DDO) considerations for life insurance and funds management products.
Form
Funds Management Products
Guidance on the meaning of significant dealings for funds management products, available within the FSC’s Target Market Determination (TMD) template for funds management products
These resources are designed to support consistent industry interpretation and practical implementation of DDO requirements.
Watch for updates
The templates may be updated over time and it is worth bookmarking the Resources page.