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  • Compliance Calendar

    $400.00 inc. GST

    What

    A comprehensive calendar of annual compliance obligations

    Suitable for

    Credit licensees

    Contains

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

    CREDIT REPRESENTATIVES.
    • Pre-appointment checks
    • Change of details / authorisations
    • Monitoring and supervision
    • Termination procedures
    • ASIC notifications
    ORGANISATIONAL CAPACITY.
    • Review adequacy of human resources
    • Key persons
    • Business and succession plans
    • Review training plans
    • OH&S review
    COMPLIANCE / RISK MANAGEMENT.
    • APL review and update
    • Review conflicts and breach registers
    • NCCP status review
    • Monitor complaints and EDR membership
    • Review outsourced arrangements
    • Business continuity planning
    FINANCIAL MANAGEMENT AND AUDIT.
    • Review financial resources
    • ASIC notifications
    • Review and reconcile trust account
    • Financial audit
    • ASIC reporting
    • Review insurance requirements
    Benefits
    • Covers all credit license and other compliance requirements
    • Includes best practice guidelines
    • Enables you to diarise timing and frequency
    • Supports your quality assurance programme
    Use
    • Convenient reference guide
    • Customise to plan and record your annual compliance activities
    • Combine with the Credit Licensee Manual for a complete compliance management system
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