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eSTORE.

Home Compliance Calendar
Product Name
For
Price
Purchase

  • Compliance Calendar

    $499.00 inc. GST

    Purchase

    Sample

    What

    A comprehensive calendar of annual compliance obligations

    Suitable for
    • Financial planners
    • Life advisers
    Contains

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

    AUTHORISED REPRESENTATIVES.
    • Pre-appointment checks
    • Cross endorsements and AR agreements
    • Change of details / authorisations
    • Monitoring and supervision
    • Termination procedures
    • ASIC notifications
    ORGANISATIONAL CAPACITY.
    • Review adequacy of human resources
    • Responsible manager checks
    • Business and succession plans
    • Review training plans
    • OH&S review
    COMPLIANCE / RISK MANAGEMENT.
    • APL review and update
    • Conflicts register review
    • Review and report suspicious matters
    • Monitor complaints and breach management
    • 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 AFS and other compliance requirements
    • Includes best practice guidelines
    • Enables you to diarise timing and frequency
    • Supports your quality assurance programme
    Use

    SEE ALSO

    Financial Adviser Manual

    AFS Licensee Manual

    Product Licence
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