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  • Financial Adviser Manual

    $1,100.00 inc. GST (5 advisers)

    What

    A step by step guide to the financial planning and life advice process

    Suitable for
    • Financial planners
    • Life advisers
    Contains

    A two-part manual with concise advice process and detailed guidance on key issues, covering

    IN THE MANUAL.
    • Client contact and engagement
    • Collecting client information
    • AML-CTF compliance
    • Retail vs. wholesale clients
    • Preparing and presenting advice
    • Implementing advice
    • Execution only services
    • Ongoing client service
    IN THE COMPANION.
    • Financial, tax and credit services
    • Marketing
    • Duties to clients
    • Privacy and confidentiality
    • Conflicts of interest
    • The FSG, SoA, RoA and PDS
    • Fee disclosure statements
    • Claims, complaints and communications
    Benefits
    • Comprehensive one-stop financial advice 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
    Use
    • 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 advisers. An additional $110 applies to each adviser after the first 5. Discounts are available for >10 advisers. Contact us for a quote.
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          "description": "
    \n\n
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    What
    \n
    \n

    A comprehensive guide to the AFS licence obligations

    \n
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    \n
    \n
    Suitable for
    \n
    \n
      \n
    • General insurance brokers and underwriting agencies
    • \n
    • Financial planning and life advisers
    • \n
    • Funds management businesses
    • \n
    \n
    \n
    \n
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    Contains
    \n
    \n

    Detailed guidance and procedures on the AFS and other regulatory requirements, covering

    \n
    \n
    REGULATION & GOVERNANCE.\n
      \n
    • Licensing
    • \n
    • Conflicts of interest
    • \n
    • Privacy
    • \n
    • Complaints & disputes
    • \n
    • Insurance
    • \n
    \n
    \n
    RISK & COMPLIANCE.\n
      \n
    • Risk management
    • \n
    • Compliance management
    • \n
    • Adviser monitoring & supervision
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    • Breach management
    • \n
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    FINANCIAL REQUIREMENTS.\n
      \n
    • Financial resources
    • \n
    • Financial auditing
    • \n
    • Reporting to ASIC
    • \n
    • Financial management
    • \n
    • Client money
    • \n
    • AML-CTF
    • \n
    \n
    \n
    BUSINESS SYSTEMS.\n
      \n
    • Business planning
    • \n
    • Records management
    • \n
    • Technology management
    • \n
    • Security
    • \n
    • Business continuity
    • \n
    \n
    \n
    \n
    \n
    \n
    \n
    Benefits
    \n
    \n
      \n
    • Comprehensive one-stop guide
    • \n
    • Seamlessly integrates numerous Acts and Regulations, Class Orders, Regulatory Guides, Info Sheets and industry Codes of Practice
    • \n
    • Fully footnoted
    • \n
    • Helps you identify and understand your AFS obligations
    • \n
    • Contains customisable policies, procedures and templates
    • \n
    • Includes guidance on implementing the requirements
    • \n
    • Detailed table of contents ensures easy navigation
    • \n
    • Packed full of tips, traps and diagrams
    • \n
    • Supports your quality assurance programme
    • \n
    • Regularly updated to reflect changing regulation, policy and practice - an additional fee applies
    • \n
    \n
    \n
    \n
    \n
    Use
    \n
    \n
      \n
    • Convenient reference guide
    • \n
    • Customise to create policies and procedures for your business
    • \n
    • Create 'Additional Proofs' for your licence application or variation
    • \n
    • Combine with the Insurance Broker, Underwriter or Financial Adviser manual for a complete\n compliance management system
    • \n
    \n
    \n
    \n
     
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    \n
    \n

    Sample

    \n
    \n
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    What
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    A comprehensive calendar of annual compliance obligations

    \n
    \n
    \n
    \n
    Suitable for
    \n
    \n
      \n
    • Financial planners
    • \n
    • Life advisers
    • \n
    \n
    \n
    \n
    \n
    Contains
    \n
    \n

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

    \n
    \n
    AUTHORISED REPRESENTATIVES.
    \n
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    • Pre-appointment checks
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    • Cross endorsements and AR agreements
    • \n
    • Change of details / authorisations
    • \n
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    • Monitoring and supervision
    • \n
    • Termination procedures
    • \n
    • ASIC notifications
    • \n
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    ORGANISATIONAL CAPACITY.\n
      \n
    • Review adequacy of human resources
    • \n
    • Responsible manager checks
    • \n
    • Business and succession plans
    • \n
    • Review training plans
    • \n
    • OH&S review
    • \n
    \n
    \n
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    COMPLIANCE / RISK MANAGEMENT.\n
      \n
    • APL review and update
    • \n
    • Conflicts register review
    • \n
    • Review and report suspicious matters
    • \n
    • Monitor complaints and breach management
    • \n
    • Review outsourced arrangements
    • \n
    • Business continuity planning
    • \n
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    FINANCIAL MANAGEMENT AND AUDIT.
    \n
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    • Review financial resources
    • \n
    • ASIC notifications
    • \n
    • Review and reconcile trust account
    • \n
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    \n
    \n
      \n
    • Financial audit
    • \n
    • ASIC reporting
    • \n
    • Review insurance requirements
    • \n
    \n
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    Benefits
    \n
    \n
      \n
    • Covers all AFS and other compliance requirements
    • \n
    • Includes best practice guidelines
    • \n
    • Enables you to diarise timing and frequency
    • \n
    • Supports your quality assurance programme
    • \n
    \n
    \n
    \n
    \n
    Use
    \n
    \n \n
    \n
    \n
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    \n
    \n

    Sample

    \n
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    What
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    A best interests compliance checklist

    \n
    \n
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    Suitable for
    \n
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      \n
    • Financial planners
    • \n
    • Life advisers
    • \n
    \n
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    Contains
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    A safe harbour process and detailed guidance on the best interests obligations, covering

    \n
    \n
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    • The best interests duty
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    • Appropriate advice
    • \n
    • SMSF recommendations
    • \n
    • Client warnings
    • \n
    \n
    \n
    \n
      \n
    • Safe harbour steps
    • \n
    • Record keeping
    • \n
    • Ongoing client service
    • \n
    \n
    \n
    \n
    \n
    \n
    \n
    Benefits
    \n
    \n
      \n
    • Simple one-stop guide
    • \n
    • Includes practical guidance and examples
    • \n
    • Supports your quality assurance programme
    • \n
    \n
    \n
    \n
    \n
    Use
    \n
    \n
      \n
    • Convenient reference guide
    • \n
    • Integrate into your advice process and/or software
    • \n
    • Attach to client advice files
    • \n
    • Incorporate into adviser review process
    • \n
    \n
    \n
    \n
    \n
    Price is for use by 5 advisers. $4 fee applies to each additional adviser. Discounts are available for purchases for >10 advisers. Contact us for a quote.
    \n
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