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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
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