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AFS Licensee Manual

$1,500.00 inc. GST

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Sample | Detailed Table of Contents

What

A comprehensive guide to the AFS licence obligations

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
SEE ALSO

Financial Adviser Manual

Insurance Broker Manual

Underwriter Manual

Product Licence

eSTORE.

AFS Licensee Manual

SEE ALSO