Compliance Calendar for Credit Licensees

$499 inc GST

A comprehensive calendar of annual compliance obligations suitable for Credit licensees.

This product is currently out of stock

 

Features:

A summary of annual compliance tasks and how to complete them, including:

CREDIT REPRESENTATIVES.

  • Pre-appointment checks
  • Change of details / authorisations
  • Monitoring and supervision
  • Termination procedures
  • ASIC notifications


ORGANISATIONAL CAPACITY.

  • Review adequacy of human resources
  • Key persons
  • Business and succession plans
  • Review training plans
  • OH&S review


COMPLIANCE / RISK MANAGEMENT.

  • APL review and update
  • Review conflicts and breach registers
  • NCCP status review
  • Monitor complaints and EDR membership
  • Review outsourced arrangements
  • Business continuity planning

FINANCIAL MANAGEMENT AND AUDIT.

  • Review financial resources
  • ASIC notifications
  • Review and reconcile trust account
  • Financial audit
  • ASIC reporting
  • Review insurance requirements

Benefits:

  • Covers all credit license and other compliance requirements
  • Includes best practice guidelines
  • Enables you to diarise timing and frequency
  • Supports your quality assurance programme

Use:

  • Convenient reference guide
  • Customise to plan and record your annual compliance activities
  • Combine with the Credit Licensee Manual for a complete compliance management system