A two-part manual with concise broking process and detailed guidance on key issues, covering:
IN THE MANUAL.
- Marketing and advertising
- Client contact
- Preparing documents
- Collecting information
- Can you act?
- Duties to clients
- Retail vs. wholesale clients
- Terminating your engagement
- File management
IN THE COMPANION.
- What is a financial service?
- Privacy and confidentiality
- Conflicts of interest
- Client engagement
- Advice and disclosure
- New business, renewals, cancellations and lapses
- Trust accounts and taxes
- Claims and complaints
- Comprehensive one-stop broking guide
- Seamlessly integrates relevant Acts and Regulations, Class Orders, Regulatory Guides, Info Sheets and industry Codes of Practice
- Contains customisable policies, procedures and templates
- Includes guidance on implementing all requirements
- Distinguishes retail and wholesale clients
- Packed full of practical tips, traps and diagrams
Detailed table of contents ensures easy navigation
- Fully footnoted
- Supports your quality assurance programme
- Regularly updated to reflect changing regulation, policy and practice - an additional fee applies
- Convenient reference guide
- Customise to create policies and procedures for your business
- Combine with the AFS Licensee Manual and Compliance Calendar for a complete compliance management system
This price is for use by 5 brokers. Discounts are available for >5 brokers. Contact us for a quote.
Download Table of Contents