Trustee Act Compliance Dashboard

Duty-driven checklists for Victorian estate and trust administration teams. Mapped to the Trustee Act 1958 (Vic), common law duties, and Corporations Act 2001 obligations.

6
Compliant
2
Needs Attention
1
Critical
Overall Compliance Score67%

6 of 9 active duty checks passing. 1 critical items require immediate action.

Trustee Duties — Trustee Act 1958 (Vic)

Prudent Investment

Trustee Act s.42 (Vic)
Attention

Trustee must exercise the care, diligence and skill that a prudent person would exercise when investing trust property. Must consider diversification, risk, return, term, tax, and inflation.

Evidence:3 of 8 investment files reviewed this quarter. 5 pending.· Last reviewed 2024-10-31

Duty of Impartiality

Common Law / Trustee Act s.62
Compliant

Trustee must act impartially between different classes of beneficiaries — including between income and capital beneficiaries, or between concurrent and remainder interests.

Evidence:Distribution policy documented. All active files reviewed against beneficiary classes.· Last reviewed 2024-11-14

Real & Genuine Consideration

Karger v Paul [1984] VR 161
Compliant

Trustee must give real and genuine consideration to the exercise of discretions. Must not act under the dictation of a third party or without actually directing their mind to the decision.

Evidence:All distribution decisions documented with trustee minutes. External legal advice obtained for contested matters.· Last reviewed 2024-11-20

Record Keeping

Trustee Act s.63 (Vic)
Compliant

Trustee must keep accurate accounts and records of estate/trust property, transactions, and decisions. Beneficiaries have a right to inspect trust accounts.

Evidence:All matters in TrustFlow. Exportable accounts generated for every file. Zero backlog.· Last reviewed 2024-11-22

Beneficiary Notification

Common Law / Equity
Attention

Beneficiaries must be informed of their interest in the trust or estate and kept reasonably informed of the administration of the estate.

Evidence:1 of 14 active beneficiaries (Geelong Arts Foundation) not yet notified. Scheduled for 2024-12-10.· Last reviewed 2024-11-15

Avoid Conflicts of Interest

Trustee Act s.67 (Vic) / Corporations Act
Compliant

Trustee must not allow personal interests to conflict with duties to beneficiaries. Self-dealing is generally prohibited unless expressly authorised by the trust deed or court.

Evidence:Conflict register maintained. No active conflicts declared across current portfolio.· Last reviewed 2024-11-01

ASIC Reporting — Licensed Trustee Companies

Corporations Act Ch 5D
N/A

Licensed trustee companies must comply with ASIC's conduct obligations, maintain internal dispute resolution procedures, and notify ASIC of significant changes.

Evidence:Not applicable — this firm is not a licensed trustee company under Ch 5D.· Last reviewed

Annual Investment Review

Trustee Act s.42(2)(b) (Vic)
Critical

At minimum annual review of investments held on trust, considering whether investments remain appropriate given the portfolio objectives, risk profile, and beneficiary circumstances.

Evidence:2 files have not had investment review for >12 months. Immediate action required.· Last reviewed 2024-09-14

Not to Delegate Core Duties

Trustee Act s.59 (Vic)
Compliant

Trustee cannot delegate its core trustee functions to another person. May appoint agents for specific tasks but must supervise and retain ultimate responsibility.

Evidence:All agent appointments documented. Trustee retains approval authority on all distributions.· Last reviewed 2024-11-01

Ensure Income Promptly Collected

Trustee Act s.41 (Vic)
Compliant

Trustee must ensure income from trust assets is promptly collected. Delay in collecting rent, dividends, or distributions may constitute a breach.

Evidence:Rental income, dividends, and managed fund distributions all collected within 30 days.· Last reviewed 2024-11-10

Corporations Act 2001 — Platform Position

TrustFlow is positioned as software-only. The following confirms we remain on the right side of the AFSL / trustee licensing line.

AFSL position documented
Operating as software only. Not providing "traditional trustee company services" under s.601RAC.
No financial product advice given to clients
All investment recommendations sourced from licensed advisers. Templates clearly labelled as firm-controlled.
Data handling — Privacy Act compliance
AU data residency confirmed. Access logs maintained.
Internal dispute resolution process documented
IDR policy current. AFCA membership not required for software-only entity.

Immediate Action Required

Prudent Investment
3 of 8 investment files reviewed this quarter. 5 pending.
Beneficiary Notification
1 of 14 active beneficiaries (Geelong Arts Foundation) not yet notified. Scheduled for 2024-12-10.
Annual Investment Review
2 files have not had investment review for >12 months. Immediate action required.
Note: This compliance dashboard is a tool for licensed professionals. TrustFlow does not constitute legal advice. Your firm remains responsible for all trustee and estate administration duties. Always obtain specialist legal and financial advice for complex matters.