AFS Licensee Manual

$2,200 inc GST

A comprehensive guide to the AFS licence obligations

This product is currently out of stock

 

Features:

Suitable for:

  • General insurance brokers and underwriting agencies
  • Financial planning and life advisers
  • Funds management businesses

Contains detailed guidance and procedures on the AFS and other regulatory requirements, covering:

REGULATION & GOVERNANCE.

  • Licensing
  • Conflicts of interest
  • Privacy
  • Data breach reporting
  • Complaints & disputes
  • Insurance

RISK & COMPLIANCE.

    • Risk management
    • Compliance management
    • Adviser monitoring & supervision
    • Breach management

    FINANCIAL REQUIREMENTS.

      • Financial resources
      • Financial auditing
      • Reporting to ASIC
      • Financial management
      • Client money
      • AML-CTF

      BUSINESS SYSTEMS.

      • Business planning
      • Records management
      • Technology management
      • Security
      • Business continuity

      Benefits: 

      • Comprehensive one-stop guide
      • Seamlessly integrates numerous Acts and Regulations, Class Orders, Regulatory Guides, Info Sheets and industry Codes of Practice
      • Includes coverage of the new mandatory data breach reporting regime
      • Fully footnoted
      • Helps you identify and understand your AFS obligations
      • Contains customisable policies, procedures and templates
      • Includes guidance on implementing the requirements
      • Detailed table of contents ensures easy navigation
      • Packed full of tips, traps and diagrams
      • Supports your quality assurance programme
      • Regularly updated to reflect changing regulation, policy and practice - an additional fee applies

      Use:

      • Convenient reference guide
      • Customise to create policies and procedures for your business
      • Create 'Additional Proofs' for your licence application or variation
      • Combine with the Insurance Broker, Underwriter or Financial Adviser manual for a complete compliance management system