Compliance Calendar for Insurance Businesses

$499 inc GST

A comprehensive calendar of annual compliance obligations suitable for General insurance brokers & Underwriting agencies

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Features:

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

AUTHORISED REPRESENTATIVES.

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

ORGANISATIONAL CAPACITY.

  • Review adequacy of human resources
  • Responsible manager checks
  • Review and update Business and Succession Plans
  • Review training plans
  • OH&S review

COMPLIANCE / RISK MANAGEMENT.

  • Review of Conflicts Register
  • Review and report suspicious matters
  • Review complaints and breach management
  • Review outsourced arrangements
  • Review Business Continuity Plan

FINANCIAL MANAGEMENT AND AUDIT.

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

Benefits:

  • Covers all AFS and other compliance requirements
  • Includes best practice guidelines
  • Enables you to diarise timing and frequency

Supports your quality assurance programme


Use:

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