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  • Compliance Audit Support screen

    The CAS is a structured interview, with a series of questions that can be answered to help in the identification of contraventions. Questions are organised into topics that are displayed in the left navigation menu. The response will help you identify contraventions of the super law that you may be required to report.

    The interview has a tiered approach. This means high-level questions can be answered or more detailed questions can be requested. On the right-hand side there is a panel that provides guidance on the current question.

    Compliance audit support screen 1 - Fund structure . Were there any issues or contraventions in relation to s17A SMSF definition or s126K disqualified persons?

    To open the guidance panel, select the blue information icon in the highlighted question. The guidance panel will display help for the highlighted question. Select the Close button to close the guidance panel.

    You can choose how you use the CAS. If you go through the topics question by question, you can choose the level of support required. If an answer you give indicates a contravention, you will be taken to the Events screen where you can record details of the contravention.

    Contraventions identified using the CAS will bring text across (into the identified contravention) that is specific to the question and answer the event that triggered the pop-up.

    When a topic is complete, a tick will be displayed in the left navigation menu next to the topic.

    A topic may have a number of sub-topics. These are shown indented, under the high-level topic name, for example:

    • [High level topic] – Fund structure
    • [Sub topic] – SMSF Definition
    • [Sub topic] – Disqualified Persons
    Last modified: 01 Feb 2021QC 21408