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  • Authorised Representative Agreement

    $355.00 inc. GST

    What

    A template legal agreement

    Suitable for
    • Financial planners
    • Life advisers
    Contains

    A customisable template for appointing authorised representatives, covering

    • Appointment and authorisation
    • Clarifying the relationship
    • Business names and logos
    • Remuneration
    • Authority to appoint others
    • AR obligations
    • Warranties and indemnities
    • Client ownership and servicing rights
    • Optional right of first refusal
    • Optional personal guarantee
    • Confidential information and IP
    • PI insurance
    • Dispute resolution
    • Termination
    Benefits
    • Defines the AR authority
    • Incorporates AR compliance obligations
    • Protects client ownership and servicing rights
    • Enables appointment of a corporate and individual ARs
    • Helps manage AFS regulatory requirements
    • Complies with unfair contract terms legislation
    • Plain English
    • Modern style and format
    • Easy to customise
    • Includes user guide
    • Supports your risk management programme
    Use
    • Customise to define the scope and terms of AR appointments
    • Manage AR activity
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          "description": "
    \n
    \n \n
    \n
    \n
    \n What\n
    \n
    \n

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

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

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

    \n
    \n
    \n IN THE MANUAL.\n
      \n
    • Client contact and engagement
    • \n
    • Collecting client information
    • \n
    • AML-CTF compliance
    • \n
    • Retail vs. wholesale clients
    • \n
    • Preparing and presenting advice
    • \n
    • Implementing advice
    • \n
    • Execution only services
    • \n
    • Ongoing client service
    • \n
    \n
    \n
    \n IN THE COMPANION.\n
      \n
    • Financial, tax and credit services
    • \n
    • Marketing
    • \n
    • Duties to clients
    • \n
    • Privacy and confidentiality
    • \n
    • Conflicts of interest
    • \n
    • The FSG, SoA, RoA and PDS
    • \n
    • Fee disclosure statements
    • \n
    • Claims, complaints and communications
    • \n
    \n
    \n
    \n
    \n
    \n
    \n
    \n Benefits\n
    \n
    \n
      \n
    • Comprehensive one-stop financial advice guide
    • \n
    • Seamlessly integrates relevant Acts and Regulations, Class Orders, Regulatory Guides, Info Sheets and industry Codes of Practice
    • \n
    • Contains customisable policies, procedures and templates
    • \n
    • Includes guidance on implementing all requirements
    • \n
    • Distinguishes retail and wholesale clients
    • \n
    • Packed full of practical tips, traps and diagrams
    • \n
    • Detailed table of contents ensures easy navigation
    • \n
    • Fully footnoted
    • \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
    \n
    \n Use\n
    \n
    \n
      \n
    • Convenient reference guide
    • \n
    • Customise to create policies and procedures for your business
    • \n
    • Combine with the AFS Licensee Manual and Compliance Calendar for a complete compliance management system
    • \n
    \n
    \n
    \n
    \n
    \n 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. \n
    \n
    \n
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    \n\n
    \n
    What
    \n
    \n

    A comprehensive guide to the AFS licence obligations

    \n
    \n
    \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
    \n
    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
    • \n
    • Breach management
    • \n
    \n
    \n
    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
    \n
    \n
    What
    \n
    \n

    Training plan and training register templates

    \n
    \n
    \n
    \n
    Suitable for
    \n
    \n

    AFS and credit licensees

    \n
    \n
    \n
    \n
    Contains
    \n
    \n

    Customisable templates and user guide, covering

    \n
    \n
    \n
      \n
    • Staff identification
    • \n
    • Training period
    • \n
    • Activities
    • \n
    \n
    \n
    \n
      \n
    • Training providers
    • \n
    • Expected CPD requirements
    • \n
    \n
    \n
    \n
    \n
    \n
    \n
    Benefits
    \n
    \n
      \n
    • Simple to customise
    • \n
    • Re-usable
    • \n
    • Effective reference tool for KPIs and performance management
    • \n
    • Helps manage your training obligations
    • \n
    • Supports your risk management programme
    • \n
    \n
    \n
    \n
    \n
    Use
    \n
    \n
      \n
    • Customise to plan staff training activities
    • \n
    • Record training undertaken
    • \n
    \n
    \n
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