Documents Overview
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Manual
Running an AFSL: Compliance Manual - AFSL
9 Oct. 2024
| Document | Version | Type | Date |
|---|---|---|---|
| AFSL Compliance Policies - AFSL | - | Compilation | 9 Oct. 2024 |
| Running an AFSL – Tools - AFSL | - | Compilation | 9 Oct. 2024 |
| Appointing a Representative Checklist (Financial Adviser) - AFSL | 2.0 | Tool | 10 Feb. 2022 |
| Appointing a Representative Checklist (Non Financial Adviser) - AFSL | 2.0 | Tool | 1 Oct. 2021 |
| Breaches and Incidents Register - AFSL | 7.0 | Register | 1 Dec. 2023 |
| Complaints Register - AFSL | 3.0 | Register | 9 Dec. 2022 |
| Guide to IDR Reporting - AFSL | 2.0 | Guide | 14 Nov. 2023 |
| Conflicts of Interest Register - AFSL | 2.0 | Register | 14 Dec. 2022 |
| CPD Plan and Register (Excel Version) - AFSL | 7.0 | Register | 9 May 2023 |
| CPD Plan and Register (Word Version) - AFSL | 3.0 | Register | 9 May 2023 |
| General Advice Review Template - AFSL | 2.0 | Tool | 8 Sept. 2022 |
| Logbook Hours - AFSL | 1.0 | Tool | 15 June 2022 |
| Monitoring and Supervision Register - AFSL | 2.0 | Register | 13 Nov. 2020 |
| Offboarding a Representative Checklist - AFSL | 1.0 | Tool | 27 April 2023 |
| Personal Advice File Review Template - AFSL | 2.0 | Tool | 8 Sept. 2022 |
| Provisional Relevant Provider Professional Year Plan Template - AFSL | 2.1 | Tool | 25 Sept. 2024 |
| Quick Guide - What Tool to Use When - AFSL | 1.0 | Guide | 16 June 2023 |
| Representative Register - AFSL | 1.0 | Register | 1 Jan. 2018 |
| Representative Review Template - AFSL | 2.0 | Tool | 8 Sept. 2022 |
| Risk Register - AFSL | 2.2 | Register | 8 Oct. 2024 |
| Soft Dollar Register - AFSL | 2.0 | Register | 15 June 2023 |
| Target Market Determination - Payments - NCP Facilities - Forward Foreign Exchange Contracts - AFSL | 2.0 | Tool | 7 Oct. 2021 |
| Target Market Determination - Payments - NCP Facilities - Spot Foreign Exchange Contracts - AFSL | 2.0 | Tool | 7 Oct. 2021 |
| Target Market Determination - CFD Provider - AFSL | 3.0 | Tool | 19 Oct. 2023 |
| Target Market Determination Checklist - Product Issuer - AFSL | 1.0 | Tool | 19 Oct. 2023 |
Manual
Running an AFSL (W'sale only): Compliance Manual - Wholesale
4 Oct. 2024
| Document | Version | Type | Date |
|---|---|---|---|
| AFSL Compliance Policies - Wholesale | - | Compilation | 4 Oct. 2024 |
| Running an AFSL – Tools - Wholesale | - | Compilation | 4 Oct. 2024 |
| Appointing a Representative Checklist - Wholesale | 1.0 | Tool | 15 Nov. 2022 |
| Breaches and Incidents Register - Wholesale | 2.0 | Register | 31 May 2023 |
| Complaints Register - Wholesale | 1.0 | Register | 15 Nov. 2022 |
| Conflicts of Interest Register - Wholesale | 2.0 | Register | 19 May 2023 |
| CPD Plan and Register (Excel Version) - Wholesale | 1.0 | Register | 15 Nov. 2022 |
| CPD Plan and Register (Word Version) - Wholesale | 1.0 | Register | 15 Nov. 2022 |
| General Advice Review Template - Wholesale | 1.0 | Tool | 15 Nov. 2022 |
| Monitoring and Supervision Register - Wholesale | 1.0 | Register | 15 Nov. 2022 |
| Personal Advice File Review Template - Wholesale | 1.0 | Tool | 15 Nov. 2022 |
| Representative Review Template - Wholesale | 1.0 | Tool | 15 Nov. 2022 |
| Risk Register - Wholesale | 2.0 | Register | 28 June 2023 |
Manual
Providing Advice: Compliance Manual - AFSL, Wholesale
10 July 2024
| Document | Version | Type | Date |
|---|---|---|---|
| Providing Advice Compliance Manual Part A (Key Obligations) - AFSL | - | Compilation | 10 July 2024 |
| Providing Advice Compliance Manual Part B (Specific Advice Areas) - AFSL | - | Compilation | 10 July 2024 |
| Providing Advice – Tools - AFSL | - | Compilation | 10 July 2024 |
| Financial Services Guide (FSG): Adviser Profile - AFSL | 3.0 | Tool | 17 Sept. 2021 |
| Financial Services Guide (FSG): Authorised Representative (AR) and Corporate Authorised Representative (CAR) Version - AFSL | 5.0 | Tool | 17 Sept. 2021 |
| Financial Services Guide (FSG): Licensee Version - AFSL | 5.0 | Tool | 17 Sept. 2021 |
| Financial Services Guide (FSG): Managed Discretionary Account - AFSL | 1.0 | Tool | 9 June 2023 |
| Financial Services Guide (FSG): Provisional Adviser Profile - AFSL | 1.0 | Tool | 17 Sept. 2021 |
| FSG Checklist Template - AFSL | 3.0 | Tool | 30 March 2023 |
| First Interview Letter Template - AFSL, Wholesale | 2.0 | Tool | 8 Oct. 2020 |
| Statement of Advice - AFSL | 1.0 | Tool | 24 March 2022 |
| Statement of Advice (IBR) - AFSL | 1.0 | Tool | 7 Dec. 2022 |
| ROA Template - AFSL | 3.0 | Tool | 7 Dec. 2022 |
| Sample Disclaimers and Warnings - AFSL, Wholesale | 2.0 | Tool | 2 April 2020 |
| Client Fact Sheet – Contributing To Super – Your Options - AFSL | 4.0 | Tool | 17 Nov. 2022 |
| Client Fact Sheet – Retirement Income – Your Options - AFSL | 3.0 | Tool | 17 Nov. 2022 |
| Client Fact Sheet – Death Benefits in Super – Your Options - AFSL | 1.0 | Tool | 7 Dec. 2020 |
Manual
Running an ACL: Compliance Manual - ACL
10 July 2024
| Document | Version | Type | Date |
|---|---|---|---|
| ACL Compliance Policies - ACL | - | Compilation | 10 July 2024 |
| Running an ACL – Tools - ACL | - | Compilation | 10 July 2024 |
| Breaches and Incidents Register - ACL | 3.0 | Register | 5 Dec. 2023 |
| Representative Register Template - ACL | 1.0 | Register | 11 Nov. 2020 |
| Appointing a Representative Checklist (Non Mortgage Broker) - ACL | 3.0 | Tool | 29 Sept. 2021 |
| Appointing a Representative Checklist (Mortgage Broker) - ACL | 1.0 | Tool | 29 Sept. 2021 |
| Complaints Register - ACL | 3.0 | Register | 13 Dec. 2022 |
| Guide to IDR Reporting - ACL | 2.0 | Guide | 14 Nov. 2023 |
| Conflicts of Interest Register - ACL | 2.0 | Register | 18 May 2023 |
| Target Market Determination – Rewards Program Credit Card - ACL | 1.0 | Tool | 5 Oct. 2021 |
| Enforcement Registers - ACL | 2.0 | Register | 27 Aug. 2022 |
| Monitoring and Supervision Register - ACL | 2.0 | Register | 20 Dec. 2022 |
| Credit Assessment File Review Template - ACL | 2.0 | Tool | 20 Dec. 2022 |
| Representative Review Template - ACL | 2.0 | Tool | 20 Dec. 2022 |
| Quick Guide - What Tool to Use When - ACL | 1.0 | Guide | 5 Jan. 2023 |
| Risk Register - ACL | 2.1 | Register | 5 July 2023 |
| CPD Register - ACL | 1.0 | Register | 29 Jan. 2021 |
Other
Whistleblower - AFSL, Wholesale
Version
2.0 -
19 Nov. 2024
| Document | Version | Type | Date |
|---|---|---|---|
| Whistleblower Policy - AFSL, Wholesale | 2.0 | Policy | 19 Nov. 2024 |
Referrals
Referral Arrangements - AFSL, Wholesale
Version
2.0 -
18 Nov. 2024
| Document | Version | Type | Date |
|---|---|---|---|
| Referral Arrangements Policy - AFSL, Wholesale | 3.0 | Policy | 18 Nov. 2024 |
| Finding a Good Referral Partner Checklist Template - AFSL, Wholesale | 1.0 | Tool | 11 Nov. 2020 |
Other
Misc. Tools - AFSL, Wholesale
Version
5.1 -
18 Nov. 2024
| Document | Version | Type | Date |
|---|---|---|---|
| Authority And Indemnity Form - AFSL | 2.0 | Tool | 4 May 2022 |
| Confirmation Of Implementation Letter - AFSL | 1.0 | Tool | 3 June 2019 |
| Downstream Credit Referral Letter Template - AFSL | 1.0 | Tool | 29 May 2019 |
| Electronic Disclosure Letter - AFSL | 1.0 | Tool | 3 June 2019 |
| File Note Template - AFSL | 1.0 | Tool | 6 June 2019 |
| Financial Advice Certificate Template - AFSL | 1.0 | Tool | 3 June 2019 |
| Interpreter Attestation Template - AFSL | 1.0 | Tool | 14 June 2019 |
| No Advice Letter (for Advisers) Template - AFSL | 1.1 | Tool | 18 Nov. 2024 |
| Non-Credit Referral Agreement Template - AFSL | 1.0 | Agreement | 3 June 2019 |
| Non-Credit Referral Letter Template - AFSL | 1.0 | Tool | 3 June 2019 |
| One-off Policy Exception Form - AFSL | 1.0 | Tool | 23 May 2019 |
| Online Calculators Checklist - AFSL | 1.0 | Tool | 20 May 2019 |
| Power of Attorney Letter Template - AFSL | 2.0 | Tool | 1 Sept. 2022 |
| Scoping Advice And Services (For Business Clients) Template - AFSL | 2.0 | Tool | 14 Feb. 2020 |
| Support Tools For Disclosing Stamping Fees - AFSL | 1.0 | Tool | 6 June 2019 |
| TFN Client Consent Form - AFSL | 1.0 | Tool | 3 June 2019 |
| Upstream Credit Referral Letter Template - AFSL | 1.0 | Tool | 3 June 2019 |
Financial Product Advice - Insurance
Insurance Advice - AFSL, Wholesale
Version
2.0 -
18 Nov. 2024
| Document | Version | Type | Date |
|---|---|---|---|
| Personal Risk Insurance Advice Policy - AFSL, Wholesale | 2.0 | Policy | 18 Nov. 2024 |
| Insurance Replacement Checklist - AFSL, Wholesale | 1.0 | Tool | 14 June 2019 |
Financial Product Advice - Super & SMSF
Super and SMSF Advice - AFSL, Wholesale
Version
4.1 -
18 Nov. 2024
| Document | Version | Type | Date |
|---|---|---|---|
| Contributions Advice Policy - AFSL | 3.0 | Policy | 18 Nov. 2024 |
| SMSF Advice Policy - AFSL, Wholesale | 3.0 | Policy | 18 Nov. 2024 |
| Client Fact Sheet – Contributing To Super – Your Options - AFSL | 4.0 | Tool | 17 Nov. 2022 |
| Client Fact Sheet – Retirement Income – Your Options - AFSL | 3.0 | Tool | 17 Nov. 2022 |
| Client Fact Sheet – Death Benefits in Super – Your Options - AFSL | 1.0 | Tool | 7 Dec. 2020 |
| SMSF Advice Work Paper - AFSL | 1.0 | Tool | 2 Sept. 2019 |
| SMSF – Investment Strategy Template - AFSL, Wholesale | 2.0 | Tool | 1 April 2020 |
| Superannuation Replacement Checklist - AFSL | 1.0 | Tool | 19 May 2019 |
Financial Product Advice - Investment Products
Investment Product Advice - AFSL, Wholesale
Version
2.0 -
18 Nov. 2024
| Document | Version | Type | Date |
|---|---|---|---|
| Investment Product Advice Policy - AFSL, Wholesale | 2.0 | Policy | 18 Nov. 2024 |
| Investment Replacement Checklist - AFSL, Wholesale | 2.0 | Tool | 15 March 2020 |
| Record of Value Price Template - AFSL, Wholesale | 2.0 | Tool | 15 March 2020 |
Financial Product Advice - Investment Products
Gearing and Margin Lending - AFSL, Wholesale
Version
2.0 -
18 Nov. 2024
| Document | Version | Type | Date |
|---|---|---|---|
| Margin Lending Advice File Note Template - AFSL, Wholesale | 1.0 | Tool | 19 May 2019 |
| Providing Gearing Advice Policy - AFSL, Wholesale | 2.0 | Policy | 18 Nov. 2024 |
Advice Fees (including OFAs)
Ongoing Fee Arrangements (applicable from 10 Jan 2025) - AFSL
Version
1.0 -
7 Nov. 2024
| Document | Version | Type | Date |
|---|---|---|---|
| Ongoing Fee Arrangement Policy (applicable from 10 Jan 2025) - AFSL | 1.0 | Policy | 7 Nov. 2024 |
| AFSL - QAR Tranche 1 – What do I need to do - Cheat Sheet (applicable from 10 Jan 2025) - AFSL | 1.0 | Guide | 7 Nov. 2024 |
| Breach Termination Template (applicable from 10 Jan 2025) - AFSL | 1.0 | Tool | 7 Nov. 2024 |
| Company Incapacity Termination Template (applicable from 10 Jan 2025) - AFSL | 1.0 | Tool | 7 Nov. 2024 |
| Death Termination Template (applicable from 10 Jan 2025) - AFSL | 1.0 | Tool | 7 Nov. 2024 |
| Disclosure and Consent Form (applicable from 10 Jan 2025) - AFSL | 1.0 | Tool | 7 Nov. 2024 |
| New OFA Termination Template (applicable from 10 Jan 2025) - AFSL | 1.0 | Tool | 7 Nov. 2024 |
| Ongoing Fee Arrangement (OFA) Document Template (applicable from 10 Jan 2025) - AFSL | 1.0 | Tool | 7 Nov. 2024 |
| Ongoing Fee Arrangement (OFA) - FAQs (applicable from 10 Jan 2025) - AFSL | 1.0 | FAQs | 7 Nov. 2024 |
| Party Termination Template (applicable from 10 Jan 2025) - AFSL | 1.0 | Tool | 7 Nov. 2024 |
| Statement of Advice Template (applicable from 10 Jan 2025) - AFSL | 1.0 | Policy | 7 Nov. 2024 |
Advice Fees (including OFAs)
Advice Fees (excluding OFAs) - AFSL, Wholesale
Version
5.0 -
7 Nov. 2024
| Document | Version | Type | Date |
|---|---|---|---|
| Advice Fees (excluding OFAs) Policy - AFSL, Wholesale | 5.0 | Policy | 7 Nov. 2024 |
| Advice Fees (excluding OFAs) FAQs - AFSL, Wholesale | 2.0 | FAQs | 7 Nov. 2024 |
| Client Engagement Letter - AFSL, Wholesale | 4.0 | Tool | 7 Nov. 2024 |
| Fixed Term Agreement Template - AFSL, Wholesale | 4.0 | Tool | 7 Nov. 2024 |
| Pricing Policy - AFSL, Wholesale | 2.0 | Tool | 23 June 2022 |
Disclosure Documents
Disclosure Documents - AFSL, Wholesale
Version
9.2 -
8 Oct. 2024
| Document | Version | Type | Date |
|---|---|---|---|
| Fact Find Template - AFSL, Wholesale | 2.1 | Tool | 19 Sept. 2024 |
| Financial Services Guide (FSG): Adviser Profile - AFSL | 3.0 | Tool | 17 Sept. 2021 |
| Financial Services Guide (FSG): Authorised Representative (AR) and Corporate Authorised Representative (CAR) Version - AFSL | 5.0 | Tool | 17 Sept. 2021 |
| Financial Services Guide (FSG): Licensee Version - AFSL | 5.0 | Tool | 17 Sept. 2021 |
| Financial Services Guide (FSG): Provisional Adviser Profile - AFSL | 1.0 | Tool | 17 Sept. 2021 |
| Financial Services Guide (FSG): Managed Discretionary Account - AFSL | 1.0 | Tool | 9 June 2023 |
| FSG Checklist Template - AFSL | 3.1 | Tool | 8 Oct. 2024 |
| First Interview Letter Template - AFSL, Wholesale | 2.0 | Tool | 8 Oct. 2020 |
| ROA Template - AFSL | 3.0 | Tool | 7 Dec. 2022 |
| Sample Disclaimers and Warnings - AFSL, Wholesale | 2.0 | Tool | 2 April 2020 |
| Statement of Advice - AFSL | 1.1 | Tool | 19 Sept. 2024 |
| Statement of Advice (IBR) - AFSL | 1.0 | Tool | 7 Dec. 2022 |
Agreements
Responsible Manager Agreement - AFSL, Wholesale
Version
2.0 -
25 Sept. 2024
| Document | Version | Type | Date |
|---|---|---|---|
| Responsible Manager Agreement - ACL, AFSL, Wholesale | 2.0 | Agreement | 25 Sept. 2024 |
Financial Product Advice - Key Requirements
Key Obligations - AFSL, Wholesale
Version
6.2 -
19 Sept. 2024
| Document | Version | Type | Date |
|---|---|---|---|
| Advice and Disclosure Documentation Policy - AFSL | 2.1 | Policy | 19 Sept. 2024 |
| Client File Management Policy - AFSL, Wholesale | 2.0 | Policy | 23 Sept. 2020 |
| Client Files Adviser Policy - AFSL, Wholesale | 1.0 | Policy | 15 July 2020 |
| Data Collection Policy - AFSL, Wholesale | 1.0 | Policy | 7 June 2019 |
| Giving Financial Product Advice Policy - AFSL, Wholesale | 1.0 | Policy | 7 June 2019 |
| No Advice -v- General Advice -v- Personal Advice Guide - AFSL, Wholesale | 1.0 | Guide | 3 June 2019 |
| Advice Implementation Flowchart - AFSL | 1.0 | Tool | 26 June 2019 |
Agreements
Authorised Representative Agreement - AFSL, Wholesale
Version
6.0 -
14 Aug. 2024
| Document | Version | Type | Date |
|---|---|---|---|
| Authorised Representative Agreement - AFSL | 6.0 | Agreement | 14 Aug. 2024 |
| Sub-Authorised Representative Agreement - AFSL | 2.1 | Agreement | 14 Aug. 2024 |
Cyber Resilience
Cyber Resilience - ACL, AFSL, Wholesale
Version
3.0 -
23 July 2024
| Document | Version | Type | Date |
|---|---|---|---|
| Information Management System Policy - ACL, AFSL, Wholesale | 1.0 | Policy | 23 July 2024 |
| Cyber Information Sheet - ACL | 1.1 | Tool | 23 July 2024 |
| Cyber Information Sheet - AFSL, Wholesale | 1.1 | Tool | 23 July 2024 |
Agreements
Unfair Contract Terms - AFSL, Wholesale
Version
2.1 -
23 May 2024
| Document | Version | Type | Date |
|---|---|---|---|
| Information Sheet - Changes to Unfair Contract Terms Laws - AFSL, Wholesale | 2.1 | Guide | 23 May 2024 |
Privacy
Privacy - ACL, AFSL, Wholesale
Version
2.4 -
22 April 2024
| Document | Version | Type | Date |
|---|---|---|---|
| Credit Information Policy - ACL, AFSL | 1.0 | Tool | 22 April 2024 |
| Data Breach Response Policy - ACL, AFSL, Wholesale | 3.1 | Policy | 6 Oct. 2023 |
| Privacy Management Policy - ACL, AFSL, Wholesale | 4.1 | Policy | 22 April 2024 |
| Privacy Policy and Collection Statement (Privacy Policy) - ACL, AFSL, Wholesale | 3.2 | Tool | 22 April 2024 |
| Data Breach Register - ACL, AFSL, Wholesale | 1.0 | Register | 1 June 2019 |
| Privacy Access Request Refusal Letter - ACL, AFSL, Wholesale | 2.0 | Tool | 17 Feb. 2022 |
| Role and Responsibilities of the DBRT Template - ACL, AFSL, Wholesale | 1.0 | Tool | 27 May 2020 |
Electronic Signatures
Electronic Signatures - ACL, AFSL, Wholesale
Version
4.1 -
18 April 2024
| Document | Version | Type | Date |
|---|---|---|---|
| Electronic Signatures Policy - ACL, AFSL, Wholesale | 4.1 | Policy | 18 April 2024 |
| ‘Wet ink’ Signature vs Electronic Digital Signatures in the Financial Services Industry Mindmap - ACL, AFSL, Wholesale | 1.0 | Mindmap | 31 Aug. 2021 |
Financial Product Advice - Investment Products
MDAs - AFSL, Wholesale
Version
1.1 -
19 March 2024
| Document | Version | Type | Date |
|---|---|---|---|
| MDA Advice Policy - AFSL, Wholesale | 3.0 | Policy | 19 March 2024 |
| MDA Service Client Register - AFSL, Wholesale | 1.0 | Register | 29 May 2019 |
| MDA Transaction File Note Template - AFSL, Wholesale | 1.0 | Tool | 29 May 2019 |
AML/CTF Resources
AML/CTF Documents (Remittance Network Provider) - AFSL, Wholesale
Version
3.1 -
15 March 2024
| Document | Version | Type | Date |
|---|---|---|---|
| AML/CTF Program (Remittance Network Provider) | 3.0 | Program | 16 Aug. 2023 |
| AML/CTF Annexure C (Remittance Network Provider) | 2.0 | Tool | 11 March 2022 |
| AML/CTF Annexure D | 2.0 | Tool | 11 March 2022 |
| AML/CTF Risk Register (Remittance Network Provider) | 2.0 | Register | 11 March 2022 |
| AML/CTF Risk Register User Instructions | 1.0 | Guide | 25 Feb. 2021 |
| AML/CTF Compliance Officer Report | 1.0 | Tool | 1 March 2021 |
| AML/CTF Reporting Obligations Mindmap | 1.0 | Mindmap | 26 Nov. 2019 |
| Anti-Money Laundering and Counter-Terrorism Financing Act 2006 (AML CTF Act) – Overview of Obligations Mindmap | 2.0 | Mindmap | 14 March 2024 |
AML/CTF Resources
AML/CTF Documents (Digital Currency Exchange) - AFSL, Wholesale
Version
3.1 -
15 March 2024
| Document | Version | Type | Date |
|---|---|---|---|
| AML/CTF Program (Digital Currency Exchange) | 3.0 | Program | 16 Aug. 2023 |
| AML/CTF Annexure C (Digital Currency Exchange) | 2.0 | Tool | 11 March 2022 |
| AML/CTF Annexure D | 2.0 | Tool | 11 March 2022 |
| AML/CTF Risk Register (Digital Currency Exchange) | 2.0 | Register | 11 March 2022 |
| AML/CTF Risk Register User Instructions | 1.0 | Guide | 25 Feb. 2021 |
| AML/CTF Compliance Officer Report | 1.0 | Tool | 1 March 2021 |
| AML/CTF Reporting Obligations Mindmap | 1.0 | Mindmap | 26 Nov. 2019 |
| Anti-Money Laundering and Counter-Terrorism Financing Act 2006 (AML CTF Act) – Overview of Obligations Mindmap | 2.0 | Mindmap | 14 March 2024 |
AML/CTF Resources
AML/CTF Documents (Remittance Service) - AFSL, Wholesale
Version
3.1 -
15 March 2024
| Document | Version | Type | Date |
|---|---|---|---|
| AML/CTF Program (Remittance Services) | 3.0 | Program | 16 Aug. 2023 |
| AML/CTF Annexure C (Remittance Services) | 2.0 | Tool | 11 March 2022 |
| AML/CTF Annexure D | 2.0 | Tool | 11 March 2022 |
| AML/CTF Risk Register (Remittance Services) | 2.0 | Register | 11 March 2022 |
| AML/CTF Risk Register User Instructions | 1.0 | Guide | 25 Feb. 2021 |
| AML/CTF Compliance Officer Report | 1.0 | Tool | 1 March 2021 |
| AML/CTF Reporting Obligations Mindmap | 1.0 | Mindmap | 26 Nov. 2019 |
| Anti-Money Laundering and Counter-Terrorism Financing Act 2006 (AML CTF Act) – Overview of Obligations Mindmap | 2.0 | Mindmap | 14 March 2024 |
AML/CTF Resources
AML/CTF Documents (Product Issuer (Licensee)) - AFSL, Wholesale
Version
3.1 -
15 March 2024
| Document | Version | Type | Date |
|---|---|---|---|
| AML/CTF Program (Product Issuer (Licensee)) | 3.0 | Program | 16 Aug. 2023 |
| AML/CTF Annexure C (Product Issuer) | 2.0 | Tool | 11 March 2022 |
| AML/CTF Annexure D | 2.0 | Tool | 11 March 2022 |
| AML/CTF Risk Register (Product Issuer) | 2.0 | Register | 11 March 2022 |
| AML/CTF Risk Register User Instructions | 1.0 | Guide | 25 Feb. 2021 |
| AML/CTF Compliance Officer Report | 1.0 | Tool | 1 March 2021 |
| AML/CTF Reporting Obligations Mindmap | 1.0 | Mindmap | 26 Nov. 2019 |
| Anti-Money Laundering and Counter-Terrorism Financing Act 2006 (AML CTF Act) – Overview of Obligations Mindmap | 2.0 | Mindmap | 14 March 2024 |
AML/CTF Resources
AML/CTF Documents (CFD Issuer) - AFSL, Wholesale
Version
3.1 -
15 March 2024
| Document | Version | Type | Date |
|---|---|---|---|
| AML/CTF Program (CFD Issuer) | 3.0 | Program | 16 Aug. 2023 |
| AML/CTF Annexure C (CFD Issuer) | 2.0 | Tool | 11 March 2022 |
| AML/CTF Annexure D | 2.0 | Tool | 11 March 2022 |
| AML/CTF Risk Register (CFD Issuer) | 2.0 | Register | 11 March 2022 |
| AML/CTF Risk Register User Instructions | 1.0 | Guide | 25 Feb. 2021 |
| AML/CTF Compliance Officer Report | 1.0 | Tool | 1 March 2021 |
| AML/CTF Reporting Obligations Mindmap | 1.0 | Mindmap | 26 Nov. 2019 |
| Anti-Money Laundering and Counter-Terrorism Financing Act 2006 (AML CTF Act) – Overview of Obligations Mindmap | 2.0 | Mindmap | 14 March 2024 |
AML/CTF Resources
AML/CTF Documents (Item 54 (Advice Provider)) - AFSL, Wholesale
Version
3.1 -
15 March 2024
| Document | Version | Type | Date |
|---|---|---|---|
| AML/CTF Program (Item 54 (Advice Provider)) | 3.0 | Program | 16 Aug. 2023 |
| AML/CTF Annexure C (Item 54) | 2.0 | Tool | 11 March 2022 |
| AML/CTF Annexure D | 2.0 | Tool | 11 March 2022 |
| AML/CTF Risk Register (Item 54) | 2.0 | Register | 11 March 2022 |
| AML/CTF Risk Register User Instructions | 1.0 | Guide | 25 Feb. 2021 |
| AML/CTF Compliance Officer Report | 1.0 | Tool | 1 March 2021 |
| AML/CTF Reporting Obligations Mindmap | 1.0 | Mindmap | 26 Nov. 2019 |
| Anti-Money Laundering and Counter-Terrorism Financing Act 2006 (AML CTF Act) – Overview of Obligations Mindmap | 2.0 | Mindmap | 14 March 2024 |
AML/CTF Resources
AML/CTF Documents (Combined Industries) - AFSL, Wholesale
Version
3.1 -
15 March 2024
| Document | Version | Type | Date |
|---|---|---|---|
| AML/CTF Program (Combined Industries) | 3.0 | Program | 16 Aug. 2023 |
| AML/CTF Annexure C (Combined Industries) | 2.0 | Tool | 15 June 2022 |
| AML/CTF Annexure D | 2.0 | Tool | 11 March 2022 |
| AML/CTF Risk Register (Combined Industries) | 2.0 | Register | 15 June 2022 |
| AML/CTF Risk Register User Instructions | 1.0 | Guide | 25 Feb. 2021 |
| AML/CTF Compliance Officer Report | 1.0 | Tool | 1 March 2021 |
| AML/CTF Reporting Obligations Mindmap | 1.0 | Mindmap | 26 Nov. 2019 |
| Anti-Money Laundering and Counter-Terrorism Financing Act 2006 (AML CTF Act) – Overview of Obligations Mindmap | 2.0 | Mindmap | 14 March 2024 |
Agreements
Mutual Non-Disclosure Deed - AFSL, Wholesale
Version
1.0 -
2 Jan. 2024
| Document | Version | Type | Date |
|---|---|---|---|
| Mutual Non-Disclosure Deed - AFSL, Wholesale | 1.0 | Agreement | 31 Dec. 2023 |
Advice Fees (including OFAs)
Ongoing Advice (including FDS) (applicable till 10 Jan 2026) - AFSL
Version
6.1 -
26 Sept. 2023
| Document | Version | Type | Date |
|---|---|---|---|
| Ongoing Fee Arrangement (OFA) Policy Option A - AFSL | 8.1 | Policy | 1 Sept. 2023 |
| Ongoing Fee Arrangement (OFA) Policy Option B - AFSL | 2.1 | Policy | 1 Sept. 2023 |
| Ongoing Fee Arrangement (OFA) Template Option A - AFSL | 2.0 | Tool | 3 Aug. 2022 |
| Ongoing Fee Arrangement (OFA) Template Option B - AFSL | 1.0 | Tool | 3 Aug. 2022 |
| Statement of Advice Template Option A - AFSL | 1.0 | Tool | 3 Aug. 2022 |
| Statement of Advice Template Option B - AFSL | 1.0 | Tool | 3 Aug. 2022 |
| Unilateral Variation Letter Template - AFSL | 1.0 | Tool | 3 Aug. 2022 |
| Mutual Agreement Variation Letter Template - AFSL | 1.0 | Tool | 3 Aug. 2022 |
| Breach Termination Template - AFSL | 2.0 | Tool | 25 June 2021 |
| Death Termination Template - AFSL | 2.0 | Tool | 25 June 2021 |
| Deemed Termination of Ongoing Fee Arrangements (OFA) Template - AFSL | 1.1 | Tool | 26 Sept. 2023 |
| New OFA Termination Template - AFSL | 1.0 | Tool | 3 Aug. 2022 |
| Party Termination Template - AFSL | 2.0 | Tool | 25 June 2021 |
| Reset Letter Template - AFSL | 1.0 | Tool | 29 July 2022 |
| Standalone Fee Disclosure Statement (FDS) Template - AFSL | 3.0 | Tool | 12 April 2023 |
| Standalone Consent to Deduct Ongoing Fees Template - AFSL | 2.0 | Tool | 12 April 2023 |
| User Guide to Ongoing Fee Arrangement Documents - AFSL | 2.0 | Guide | 12 April 2023 |
| Ongoing Fee Arrangement (OFA) – FAQs - AFSL | 6.1 | FAQs | 1 Sept. 2023 |
Information Management
Information Management - ACL
Version
1.0 -
27 July 2023
| Document | Version | Type | Date |
|---|---|---|---|
| Information Management Policy - ACL | 1.0 | Policy | 27 July 2023 |
| Document Destruction Schedule - ACL | 1.0 | Tool | 27 July 2023 |
Disclosure Documents
Disclosure Documents - ACL
Version
1.0 -
16 May 2023
| Document | Version | Type | Date |
|---|---|---|---|
| Credit Guide - Licensee - ACL | 1.0 | Tool | 21 April 2022 |
| Credit Proposal Disclosure Document - ACL | 1.0 | Tool | 21 April 2022 |
Information Management
Information Management - AFSL, Wholesale
Version
1.1 -
16 May 2023
| Document | Version | Type | Date |
|---|---|---|---|
| Information Management Policy - AFSL, Wholesale | 1.1 | Policy | 9 May 2023 |
| Document Destruction Schedule - AFSL, Wholesale | 1.1 | Tool | 9 May 2023 |
Vulnerable Clients (including Aged Care)
Vulnerable Clients - AFSL, Wholesale
Version
1.0 -
16 May 2023
| Document | Version | Type | Date |
|---|---|---|---|
| Vulnerable Clients Policy - AFSL, Wholesale | 2.0 | Policy | 7 Oct. 2022 |
Best Interests Duty (BID)
Best Interests Duty (BID) - AFSL
Version
1.0 -
16 May 2023
| Document | Version | Type | Date |
|---|---|---|---|
| Best Interests Obligations Policy - AFSL | 2.0 | Policy | 14 Feb. 2020 |
| Best Interests Obligations Mindmap - ACL, AFSL | 1.0 | Mindmap | 1 Nov. 2018 |
Vulnerable Clients (including Aged Care)
Aged Care - AFSL, Wholesale
Version
2.0 -
11 April 2023
| Document | Version | Type | Date |
|---|---|---|---|
| Providing Aged Care Advice Policy - AFSL, Wholesale | 3.0 | Policy | 11 April 2023 |
Accountant Resources
Unlicensed Accountants - AFSL
Version
2.0 -
17 Nov. 2022
| Document | Version | Type | Date |
|---|---|---|---|
| Unlicensed Letter Pack – Execution only (SMSF Set Up) - AFSL | 4.0 | Tool | 1 Oct. 2018 |
| Unlicensed Letter Pack – Execution Only (SMSF Wind Up) - AFSL | 4.0 | Tool | 1 Oct. 2018 |
| Unlicensed Letter Pack – Execution Only (Pension Commencement) - AFSL | 5.0 | Tool | 17 Nov. 2022 |
| Unlicensed Letter Pack – Execution Only (Annual Pension Amount) - AFSL | 4.0 | Tool | 4 Oct. 2018 |
| Unlicensed Letter Pack – Execution Only (Lump Sum Withdrawal) - AFSL | 4.0 | Tool | 5 Oct. 2018 |
| Unlicensed Letter Pack – Execution Only (Death Benefit Nomination) - AFSL | 4.0 | Tool | 6 Oct. 2018 |
| Unlicensed Letter Pack – Execution Only (SMSF Investment Strategy) - AFSL | 5.0 | Tool | 7 Oct. 2018 |
| Unlicensed Letter Pack – Tax Advice (End Of Year Tax Planning) - AFSL | 5.0 | Tool | 17 Nov. 2022 |
| Unlicensed Letter Pack – Tax Advice (Re-Contributions Strategy) - AFSL | 4.0 | Tool | 9 Oct. 2018 |
| Unlicensed Letter Pack – Tax Advice (Tax Advice on Specific Financial Products) - AFSL | 4.0 | Tool | 10 Oct. 2018 |
| Unlicensed Letter Pack – Engagement Letter (SMSF Compliance & Accounting) - AFSL | 4.0 | Tool | 11 Oct. 2018 |
| Unlicensed Letter Pack – Execution Only (SMSF Rollover) - AFSL | 1.0 | Tool | 17 Nov. 2022 |
Financial Product Advice - Wholesale Clients
Wholesale Clients - AFSL, Wholesale
Version
1.0 -
16 Nov. 2022
| Document | Version | Type | Date |
|---|---|---|---|
| Wholesale Client Policy - AFSL | 2.0 | Policy | 3 Feb. 2020 |
| Wholesale Client Policy (W’sale AFSL only) - Wholesale | 1.0 | Policy | 16 Nov. 2022 |
| Controller Declaration Template - AFSL, Wholesale | 1.0 | Tool | 14 Sept. 2019 |
| Professional Investor Declaration Template - AFSL, Wholesale | 1.0 | Tool | 18 Sept. 2019 |
| Record of Value Price Template - AFSL, Wholesale | 2.0 | Tool | 15 March 2020 |
Enforcement and Hardship
Enforcement and Hardship - ACL
Version
2.0 -
27 Aug. 2022
| Document | Version | Type | Date |
|---|---|---|---|
| Enforcement Policy - ACL | 2.0 | Policy | 27 Aug. 2022 |
| Hardship Policy - ACL | 2.0 | Policy | 27 Aug. 2022 |
| Statement of Financial Position Template - ACL | 2.0 | Tool | 27 Aug. 2022 |
| Consent to Enter Premises Template (for Consumer Lease) - ACL | 2.0 | Tool | 27 Aug. 2022 |
| Consent to Enter Premises Template (for Credit Contract) - ACL | 2.0 | Tool | 27 Aug. 2022 |
| Default Notice Template (for Consumer Lease) - ACL | 2.0 | Tool | 27 Aug. 2022 |
| Default Notice Template (for Credit Contract) - ACL | 2.0 | Tool | 27 Aug. 2022 |
| Direct Debit Notice Template (for Consumer Lease) - ACL | 1.0 | Tool | 25 Sept. 2020 |
| Direct Debit Notice Template (for Credit Contract) - ACL | 1.0 | Tool | 25 Sept. 2020 |
| Notice after Taking Possession of Mortgaged Goods Template - ACL | 2.0 | Tool | 27 Aug. 2022 |
| Notice regarding Surrender of Mortgaged Goods Template - ACL | 2.0 | Tool | 27 Aug. 2022 |
| Enforcement Registers - ACL | 2.0 | Register | 27 Aug. 2022 |
Best Interests Duty (BID)
Best Interests Duty (Mortgage Brokers) - ACL
Version
2.0 -
12 May 2022
| Document | Version | Type | Date |
|---|---|---|---|
| Best Interests Obligations Policy - ACL | 2.0 | Policy | 12 May 2022 |
| Best Interests Obligations Mindmap - ACL, AFSL | 1.0 | Mindmap | 1 Nov. 2018 |
Other
Misc. Tools - ACL
Version
2.0 -
27 April 2022
| Document | Version | Type | Date |
|---|---|---|---|
| Consumer -v- Non-Consumer Credit Policy - ACL | 1.0 | Policy | 18 Feb. 2021 |
| Consumer v Non Consumer Credit Checklist (Consumer Lease) - ACL | 1.0 | Tool | 21 Dec. 2020 |
| Consumer v Non-Consumer Credit Checklist (Credit Contract) - ACL | 1.0 | Tool | 21 Dec. 2020 |
| Business Purpose Declaration Template (Consumer Lease) - ACL | 1.0 | Tool | 21 Dec. 2020 |
| Business Purpose Declaration Template (Credit Contract) - ACL | 1.0 | Tool | 21 Dec. 2020 |
| Credit Referral Agreement - ACL | 1.0 | Agreement | 5 Oct. 2020 |
| Credit Referral Letter Template - ACL | 1.0 | Tool | 5 Oct. 2020 |
| Downstream Credit Referral Letter Template - ACL | 1.0 | Tool | 5 Oct. 2020 |
| File Note Template - ACL | 1.0 | Tool | 5 Oct. 2020 |
| Interpreter Attestation Template - ACL | 1.0 | Tool | 5 Oct. 2020 |
| One-off Policy Exception Application Form Template - ACL | 1.0 | Tool | 5 Oct. 2020 |
Financial Product Advice - Overseas Clients
Overseas Clients - AFSL, Wholesale
Version
3.0 -
22 April 2022
| Document | Version | Type | Date |
|---|---|---|---|
| Overseas Client Policy - AFSL, Wholesale | 3.0 | Policy | 22 April 2022 |
| Overseas Clients One-Off Approval Supplementary Application Form - AFSL, Wholesale | 3.0 | Tool | 4 May 2022 |
Responsible Lending
Responsible Lending - ACL
Version
1.0 -
21 April 2022
| Document | Version | Type | Date |
|---|---|---|---|
| Responsible Lending Policy - ACL | 1.0 | Policy | 21 April 2022 |
| Final-Preliminary Assessment - ACL | 1.0 | Tool | 21 April 2022 |
| Client Information Collection Form - ACL | 1.0 | Tool | 21 April 2022 |
| Credit Guide - Licensee - ACL | 1.0 | Tool | 21 April 2022 |
| Credit Proposal Disclosure Document - ACL | 1.0 | Tool | 21 April 2022 |
| Schedule 5 - Key Facts Sheets for Standard Home Loans - ACL | 1.0 | Tool | 21 April 2022 |
| Schedule 6 - Key Facts Sheets for Credit Card Contracts - ACL | 1.0 | Tool | 21 April 2022 |
Agreements
Credit Representative Agreement - ACL
Version
1.0 -
23 Dec. 2021
| Document | Version | Type | Date |
|---|---|---|---|
| Corporate Credit Representative Agreement - ACL | 1.0 | Agreement | 23 Dec. 2021 |
| Sub-Authorised Representative Agreement - ACL | 1.0 | Agreement | 23 Dec. 2021 |
Financial Product Advice - Key Requirements
Code of Ethics - AFSL
Version
2.0 -
21 Dec. 2021
| Document | Version | Type | Date |
|---|---|---|---|
| Financial Planners and Advisers Code of Ethics Policy - AFSL | 2.0 | Policy | 21 Dec. 2021 |
Other
Hedging - AFSL, Wholesale
Version
1.0 -
1 June 2021
| Document | Version | Type | Date |
|---|---|---|---|
| Hedging Policy - AFSL, Wholesale | 1.0 | Policy | 30 April 2021 |
| Hedging Policy Statement for Website Template - AFSL, Wholesale | 1.0 | Tool | 30 April 2021 |
Referrals
Referral Arrangements - ACL
Version
1.0 -
6 April 2021
| Document | Version | Type | Date |
|---|---|---|---|
| Referral Arrangements Policy - ACL | 1.0 | Policy | 6 April 2021 |
| Finding a Good Referral Partner Checklist Template - ACL | 1.0 | Tool | 6 April 2021 |
Accountant Resources
Accountants with a Limited Licence - AFSL
Version
1.0 -
1 Nov. 2018
| Document | Version | Type | Date |
|---|---|---|---|
| Accountant Fact Find - AFSL | 4.0 | Tool | 1 Nov. 2018 |
| Client Fact Find - AFSL | 1.0 | Tool | 1 Nov. 2018 |
| Communications Kit For Limited Licences - AFSL | 1.0 | Tool | 17 Feb. 2020 |
| The HN Family Case Study - AFSL | 1.0 | Tool | 1 July 2017 |
| Guide – Accountants Providing Advice In A Business - AFSL | 1.0 | Guide | 1 Dec. 2016 |
| Fast Track Pensions Advice – Support Tools - AFSL | 1.0 | Tool | 1 Aug. 2018 |
| Fast Track Contributions Advice - Support Tools - AFSL | 1.0 | Tool | 1 May 2018 |
| SOA Template – Fast Track Contributions Advice - AFSL | 2.0 | Tool | 1 May 2018 |
| SOA Template – Fast Track For Pensions Advice - AFSL | 2.0 | Tool | 1 Aug. 2018 |
| SOA Template – For Accountants With A Limited Licence - AFSL | 1.0 | Tool | 14 Feb. 2020 |
Outsourcing
Outsourcing - AFSL
Version
4.2 -
15 Nov. 2024
| Document | Version | Type | Date |
|---|---|---|---|
| Outsourcing Policy - AFSL | 4.2 | Policy | 15 Nov. 2024 |
| Engagement Checklist for Outsourced Providers - AFSL | 4.0 | Tool | 15 June 2023 |
| List of Existing Service Providers - AFSL | 3.0 | Tool | 14 Oct. 2021 |
| Service Provider Review Checklist - AFSL | 3.0 | Tool | 14 Oct. 2021 |