We understand the frustration and the inappropriateness associated with a "one size fits all" approach, and have designed the procedures in a way which allows the licensee control of the content.
The following procedures are available for purchase separately or together at a discounted price:
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Download this Australian Financial Services Licensee Compliance Manual, which is benchmarked against the financial services laws, and ASIC regulatory guides.
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Designed to act as an umbrella "compliance plan" for the greater compliance manual.
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This procedure* assists in compliance with RG 104 Licensing: Meeting the general obligations.
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This procedure* assists in compliance with RG 104: Licensing: Meeting the general obligations. It also helps satisfy ASIC's Pro Forma 209 (PF) licence condition 2 on your AFSL.
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This procedure*,** assists in compliance with RG 104 - Licensing: Meeting the general obligations, and RG 166 - Financial requirements.
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This procedure*,** is useful for trust account holders, and assists in compliance with RG 104 - Licensing: Meeting the general obligations.
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An internal and external procedure are provided in this document, in addition to a complaints register.
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This procedure* is designed to assist in compliance with:
RG 146 - Licensing: Training of financial product advisers; and
RG 104 - Licensing: Meeting the general obligations
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This procedure* is designed to assist in compliance with:
RG 146 - Licensing: Training of financial product advisers;
RG 104 - Licensing: Meeting the general obligations; and
PF209 licence conditions 6 and 7.The procedure includes a pro-forma training register and development plan which can be easily duplicated for each representative.
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The procedure* is designed to assist in compliance with Regulatory Guide 104 - Licensing: Meeting the general obligations; and Regulatory Guide 105 - Licensing: Organisational competence; as well as PF209 licence condition 3.
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This procedure* is designed to assist in compliance when providing personal advice to retail clients.
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This procedure* is designed to assist in compliance with RG 104 - Licensing: Meeting the general obligations.
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This procedure* is designed to assist in compliance with RG 104 - Licensing: Meeting the general obligations.
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This procedure* is to meet the requirements of s912A(1)(aa) of the Corporations Act, which came into force on 1 January 2005.
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This procedure* is designed to assist in compliance for people who engage in credit activities in Australia.
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Although not required by law, this procedure is extremely helpful as it ties together all the annual and quarterly obligations of the licensee into a 3-page checklist. The procedure also distinguishes between legal and best practice obligations.
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* None of these procedures will comply with the regulatory requirements if they are not correctly tailored to your particular business. Compact-Compliance & Corporate Training is not responsible for the upkeep of these procedures once purchased by the licensee. The content of each procedure will vary depending on legislative and policy changes and updates, as well as the nature of the licensee. These procedures will be current on the date of purchase.
* Liability limited by a scheme approved under Professional Standards Legislation.
**This procedure is only organisational. It does not address financial reporting and financial auditing requirements.