Documents Overview
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Conflicts of Interest
Conflicted Remuneration - AFSL
Version
2.0 -
10 Oct. 2024
Document | Version | Type | Date |
---|---|---|---|
Conflicted Remuneration and Soft Dollar Policy - AFSL | 2.0 | Policy | 10 Oct. 2024 |
Conflicted and Banned Remuneration – Information for Authorised Representatives - AFSL | 2.0 | Tool | 10 Oct. 2024 |
Conflicted and Banned Remuneration – Information for Employee Representatives - AFSL | 2.0 | Tool | 10 Oct. 2024 |
Examples of Conflicted Remuneration - AFSL | 1.0 | Tool | 15 June 2023 |
Examples of Exclusions from the Ban on Conflicted Remuneration - AFSL | 2.0 | Tool | 10 Oct. 2024 |
Soft Dollar Register - AFSL | 2.0 | Register | 15 June 2023 |
Risk Management
Risk Management - AFSL
Version
2.3 -
8 Oct. 2024
Document | Version | Type | Date |
---|---|---|---|
Business Continuity Planning Policy - AFSL | 1.2 | Policy | 28 Aug. 2024 |
Risk Management Policy - AFSL | 2.1 | Policy | 6 Oct. 2023 |
Risk Register - AFSL | 2.2 | Register | 8 Oct. 2024 |
Risk Appetite Statement Template - AFSL | 1.0 | Tool | 12 Jan. 2023 |
Business Continuity Plan Template - AFSL | 1.1 | Tool | 6 Oct. 2023 |
Reporting Obligations (Breach Reporting)
Reporting Obligations - Wholesale
Version
2.3 -
4 Oct. 2024
Document | Version | Type | Date |
---|---|---|---|
Breach (Reportable Situation) and Events Reporting Policy - Wholesale | 2.2 | Policy | 4 Oct. 2024 |
Misleading and Deceptive Conduct Template - Wholesale | 1.0 | Tool | 31 May 2023 |
Breaches and Incidents Register - Wholesale | 2.0 | Register | 31 May 2023 |
Breach Reporting RG 78 (Combined AFSL-ACL) Mindmap - ACL, AFSL | 1.1 | Mindmap | 3 June 2024 |
Adequate Resources
Adequate Resources - AFSL
Version
3.0 -
4 Oct. 2024
Document | Version | Type | Date |
---|---|---|---|
Financial Resources, Records and Compensation Policy - AFSL | 2.0 | Policy | 4 Oct. 2024 |
Human Resources Policy - AFSL | 2.1 | Policy | 15 April 2024 |
IT Resources Policy - AFSL | 2.1 | Policy | 9 Nov. 2023 |
Human Resources Organisational Chart Template - AFSL | 2.0 | Tool | 6 Oct. 2023 |
PI Insurance Checklist - AFSL | 2.0 | Tool | 4 Oct. 2024 |
Training
Training - AFSL
Version
7.0 -
25 Sept. 2024
Document | Version | Type | Date |
---|---|---|---|
Provisional Relevant Provider Policy - AFSL | 3.0 | Policy | 25 Sept. 2024 |
Training Policy - AFSL | 4.1 | Policy | 6 Oct. 2023 |
Completion Certificate - AFSL | 1.0 | Tool | 15 June 2022 |
Final Completion Certificate - AFSL | 2.0 | Tool | 25 Sept. 2024 |
Logbook Hours - AFSL | 1.0 | Tool | 15 June 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 |
CPD Policy - AFSL | 4.0 | Tool | 9 May 2023 |
Provisional Relevant Provider Professional Year Plan Template - AFSL | 2.1 | Tool | 25 Sept. 2024 |
Reporting Obligations (Breach Reporting)
Reporting Obligations - AFSL
Version
7.5 -
28 Aug. 2024
Document | Version | Type | Date |
---|---|---|---|
Breach (Reportable Situation) and Events Reporting Policy - AFSL | 5.1 | Policy | 28 Aug. 2024 |
Breaches and Incidents Register - AFSL | 7.0 | Register | 1 Dec. 2023 |
Misleading and Deceptive Conduct Template - AFSL | 2.1 | Tool | 17 June 2024 |
Breach Reporting RG 78 (Combined AFSL-ACL) Mindmap - ACL, AFSL | 1.1 | Mindmap | 3 June 2024 |
Promotional Material, Marketing and Anti-Hawking
Promotional Material, Marketing and Anti-Hawking - AFSL
Version
9.1 -
8 Aug. 2024
Document | Version | Type | Date |
---|---|---|---|
Promotional Material, Marketing and Anti-Hawking Policy - AFSL | 8.1 | Policy | 8 Aug. 2024 |
Promotional Material Checklist - AFSL | 5.1 | Tool | 20 July 2023 |
Complaints
Complaints - AFSL
Version
4.3 -
7 Aug. 2024
Document | Version | Type | Date |
---|---|---|---|
Dispute Resolution Policy - AFSL | 4.2 | Policy | 5 Aug. 2024 |
Complaints Register - AFSL | 3.0 | Register | 9 Dec. 2022 |
Public Complaints Policy - AFSL | 2.0 | Tool | 22 Oct. 2021 |
IDR Response Template - AFSL | 1.0 | Tool | 14 Nov. 2023 |
IDR Delay Notification Template - AFSL | 1.0 | Tool | 7 Aug. 2024 |
Guide to IDR Reporting - AFSL | 2.0 | Guide | 14 Nov. 2023 |
Compliance Arrangements
Compliance Arrangements Overview - AFSL
Version
5.3 -
3 June 2024
Document | Version | Type | Date |
---|---|---|---|
Compliance Policy - AFSL | 3.0 | Policy | 27 Sept. 2023 |
Compliance Committee Charter - AFSL | 2.0 | Tool | 27 Sept. 2023 |
Compliance Committee Standard Agenda - AFSL | 1.0 | Tool | 27 Sept. 2023 |
Director's Declaration - Change in Control - AFSL | 1.0 | Tool | 27 Sept. 2023 |
Periodic Board Compliance Report - AFSL | 1.0 | Tool | 27 Sept. 2023 |
FSR Overview Mindmap - AFSL, Wholesale | 1.1 | Mindmap | 3 June 2024 |
Responsible Managers (AFSL) Mindmap - AFSL, Wholesale | 1.1 | Mindmap | 3 June 2024 |
Responsible Managers ACL (RG 206) Mindmap - ACL | 1.0 | Mindmap | 19 Jan. 2016 |
Reporting Obligations (Breach Reporting)
Reporting Obligations - ACL
Version
4.2 -
3 June 2024
Document | Version | Type | Date |
---|---|---|---|
Breach (Reportable Situation) Reporting Policy - ACL | 4.0 | Policy | 5 Dec. 2023 |
Breaches and Incidents Register - ACL | 3.0 | Register | 5 Dec. 2023 |
Misleading and Deceptive Conduct Template - ACL | 2.0 | Tool | 5 Dec. 2023 |
Breach Reporting RG 78 (Combined AFSL-ACL) Mindmap - ACL, AFSL | 1.1 | Mindmap | 3 June 2024 |
Adequate Resources
Adequate Resources - ACL
Version
2.1 -
20 March 2024
Document | Version | Type | Date |
---|---|---|---|
Financial Resources, Financial Records and Compensation Policy - ACL | 2.0 | Policy | 20 March 2024 |
Human Resources Policy - ACL | 2.0 | Policy | 20 March 2024 |
IT Resources Policy - ACL | 2.0 | Policy | 17 Nov. 2023 |
PI Insurance Checklist Template - ACL | 2.0 | Tool | 20 March 2024 |
Human Resources Organisational Chart Template - ACL | 2.0 | Tool | 20 March 2024 |
Conflicts of Interest
Personal Trading (Dealing) - AFSL
Version
1.1 -
7 Feb. 2024
Document | Version | Type | Date |
---|---|---|---|
Personal Trading (Dealing) Policy - AFSL | 1.1 | Policy | 7 Feb. 2024 |
Risk Management
Risk Management - ACL
Version
2.1 -
17 Nov. 2023
Document | Version | Type | Date |
---|---|---|---|
Business Continuity Planning Policy - ACL | 2.0 | Policy | 17 Nov. 2023 |
Risk Management Policy - ACL | 3.0 | Policy | 17 Nov. 2023 |
Business Continuity Plan Template - ACL | 2.0 | Tool | 17 Nov. 2023 |
Risk Register - ACL | 2.1 | Register | 5 July 2023 |
Risk Appetite Statement Template - ACL | 1.0 | Tool | 11 April 2023 |
Training
Training - ACL
Version
2.0 -
17 Nov. 2023
Document | Version | Type | Date |
---|---|---|---|
Training Policy - ACL | 2.0 | Policy | 17 Nov. 2023 |
CPD Plan Template - ACL | 1.0 | Tool | 29 Jan. 2021 |
CPD Register - ACL | 1.0 | Register | 29 Jan. 2021 |
Monitoring and Supervision
Monitoring and Supervision - ACL
Version
2.1 -
17 Nov. 2023
Document | Version | Type | Date |
---|---|---|---|
Consumer Remediation Policy - ACL | 2.0 | Policy | 20 Dec. 2022 |
Monitoring and Supervising Representatives Policy - ACL | 2.1 | Policy | 17 Nov. 2023 |
Monitoring and Supervision Register - ACL | 2.0 | Register | 20 Dec. 2022 |
Consumer Remediation Plan Template - ACL | 2.0 | Tool | 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 |
Monitoring and Supervision Checklist Template - ACL | 2.0 | Tool | 20 Dec. 2022 |
Withdrawal of Authoriser Consent - ACL | 1.0 | Tool | 20 Dec. 2022 |
Revocation Form - Credit Representative - ACL | 1.0 | Tool | 20 Dec. 2022 |
Revocation Form - Employee - ACL | 1.0 | Tool | 20 Dec. 2022 |
Checklist for Monitoring a Corporate Credit Representative - ACL | 1.0 | Tool | 20 Dec. 2022 |
Quick Guide - What Tool to Use When - ACL | 1.0 | Guide | 5 Jan. 2023 |
Outsourcing
Outsourcing - ACL
Version
3.0 -
17 Nov. 2023
Document | Version | Type | Date |
---|---|---|---|
Outsourcing Policy - ACL | 3.0 | Policy | 17 Nov. 2023 |
Engagement Checklist for Outsourced Providers - ACL | 3.0 | Tool | 17 Nov. 2023 |
Letter to Existing Service Provider - ACL | 2.0 | Tool | 13 Oct. 2021 |
List of Existing Service Providers - ACL | 2.0 | Tool | 13 Oct. 2021 |
Service Provider Review Checklist - ACL | 2.0 | Tool | 13 Oct. 2021 |
Handling Client Money
Handling Client Money - AFSL
Version
2.0 -
15 Nov. 2023
Document | Version | Type | Date |
---|---|---|---|
Handling Client Money Policy - AFSL | 2.0 | Policy | 15 Nov. 2023 |
Annual Declaration Template - AFSL | 1.0 | Tool | 1 Jan. 2018 |
Monthly Declaration Template - AFSL | 1.0 | Tool | 1 Jan. 2018 |
Annual Audtior's Report Template - AFSL | 1.0 | Tool | 1 Jan. 2018 |
Reconciliation Discrepancy Reporting to ASIC Template - AFSL | 1.0 | Tool | 1 Jan. 2018 |
Complaints
Dispute Resolution (Complaints) - ACL
Version
4.1 -
14 Nov. 2023
Document | Version | Type | Date |
---|---|---|---|
Dispute Resolution Policy - ACL | 4.1 | Policy | 14 Nov. 2023 |
Complaints Register - ACL | 3.0 | Register | 13 Dec. 2022 |
Public Complaints Policy - ACL | 2.0 | Tool | 22 Oct. 2021 |
IDR Response Template - ACL | 1.0 | Policy | 14 Nov. 2023 |
Guide to IDR Reporting - ACL | 2.0 | Guide | 14 Nov. 2023 |
Design and Distribution
Design and Distribution (Product Providers) - AFSL
Version
4.0 -
19 Oct. 2023
Document | Version | Type | Date |
---|---|---|---|
Design and Distribution Policy (Product issuers and distributors – combined) - AFSL | 3.0 | Policy | 12 Jan. 2023 |
Target Market Determination Checklist - Product Issuer - AFSL | 1.0 | Tool | 19 Oct. 2023 |
Design and Distribution Mindmap - ACL, AFSL | 1.0 | Mindmap | 1 Sept. 2021 |
Design and Distribution
Design and Distribution (CFD Providers) - AFSL
Version
4.0 -
19 Oct. 2023
Document | Version | Type | Date |
---|---|---|---|
Design and Distribution Policy (Product issuers and distributors – combined) - AFSL | 3.0 | Policy | 12 Jan. 2023 |
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 |
Design and Distribution Mindmap - ACL, AFSL | 1.0 | Mindmap | 1 Sept. 2021 |
Design and Distribution
Design and Distribution (Payments Businesses) - AFSL
Version
4.0 -
19 Oct. 2023
Document | Version | Type | Date |
---|---|---|---|
Design and Distribution Policy (Product issuers and distributors – combined) - AFSL | 3.0 | Policy | 12 Jan. 2023 |
Target Market Determination - Payments - NCP Facilities - Spot Foreign Exchange Contracts - AFSL | 2.0 | Tool | 7 Oct. 2021 |
Target Market Determination - Payments - NCP Facilities - Forward Foreign Exchange Contracts - AFSL | 2.0 | Tool | 7 Oct. 2021 |
Target Market Determination Checklist - Product Issuer - AFSL | 1.0 | Tool | 19 Oct. 2023 |
Design and Distribution Mindmap - ACL, AFSL | 1.0 | Mindmap | 1 Sept. 2021 |
Outsourcing
Outsourcing - AFSL
Version
4.1 -
6 Oct. 2023
Document | Version | Type | Date |
---|---|---|---|
Outsourcing Policy - AFSL | 4.1 | Policy | 6 Oct. 2023 |
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 |
Monitoring and Supervision
Monitoring and Supervision - AFSL
Version
8.3 -
6 Oct. 2023
Document | Version | Type | Date |
---|---|---|---|
Client Remediation Policy - AFSL | 2.0 | Policy | 27 Oct. 2022 |
Monitoring and Supervising Representatives Policy - AFSL | 3.1 | Policy | 6 Oct. 2023 |
Monitoring and Supervision Register - AFSL | 2.0 | Register | 13 Nov. 2020 |
Client Remediation Plan Template - AFSL | 2.0 | Tool | 27 Oct. 2022 |
Monitoring and Supervision Checklist - AFSL | 2.0 | Tool | 8 Sept. 2022 |
General Advice Review Template - AFSL | 2.0 | Tool | 8 Sept. 2022 |
Personal Advice File Review Template - AFSL | 2.0 | Tool | 8 Sept. 2022 |
Representative Review Template - AFSL | 2.0 | Tool | 8 Sept. 2022 |
FSG Checklist Template - AFSL | 3.0 | Tool | 30 March 2023 |
ROA Checklist - AFSL | 2.0 | Tool | 8 Sept. 2022 |
SOA Checklist - AFSL | 3.0 | Tool | 8 Sept. 2022 |
Withdrawal of Authoriser Consent - AFSL | 1.0 | Tool | 8 Sept. 2022 |
Revocation Form – Authorised Representative - AFSL | 1.0 | Tool | 8 Sept. 2022 |
Revocation Form – Employee - AFSL | 1.0 | Tool | 8 Sept. 2022 |
Checklist for Monitoring a Corporate Authorised Representative - AFSL | 1.0 | Tool | 8 Sept. 2022 |
Checklist for PDS Content - AFSL | 1.0 | Tool | 18 Nov. 2022 |
Quick Guide - What Tool to Use When - AFSL | 1.1 | Guide | 24 Aug. 2023 |
Promotional Material, Marketing and Anti-Hawking
Promotional Material and Marketing - ACL
Version
2.1 -
19 Sept. 2023
Document | Version | Type | Date |
---|---|---|---|
Promotional Material and Marketing Policy - ACL | 2.1 | Policy | 19 Sept. 2023 |
Promotional Material Checklist - ACL | 2.1 | Tool | 19 Sept. 2023 |
Promotional Material, Marketing and Anti-Hawking
Promotional Material and Marketing - Wholesale
Version
2.0 -
14 Sept. 2023
Document | Version | Type | Date |
---|---|---|---|
Promotional Material and Marketing Policy - Wholesale | 2.0 | Policy | 14 Sept. 2023 |
Promotional Material Checklist - Wholesale | 2.0 | Tool | 14 Sept. 2023 |
Conflicts of Interest
Conflicts of Interest - AFSL
Version
3.2 -
14 July 2023
Document | Version | Type | Date |
---|---|---|---|
Conflicts of Interest Policy - AFSL | 5.0 | Policy | 14 July 2023 |
Conflicts of Interest Register - AFSL | 2.0 | Register | 14 Dec. 2022 |
Representative Conflicts of Interest Checklist Template - AFSL | 1.0 | Policy | 14 July 2023 |
Conflicts of Interest
Conflicts of Interest - Wholesale
Version
2.0 -
19 May 2023
Document | Version | Type | Date |
---|---|---|---|
Conflicts of Interest Policy - Wholesale | 2.0 | Policy | 19 May 2023 |
Conflicts of Interest Register - Wholesale | 2.0 | Register | 19 May 2023 |
Conflicts of Interest
Conflicts of Interest - ACL
Version
2.0 -
18 May 2023
Document | Version | Type | Date |
---|---|---|---|
Conflicts of Interest Policy - ACL | 2.0 | Policy | 18 May 2023 |
Conflicts of Interest Register - ACL | 2.0 | Register | 18 May 2023 |
Design and Distribution
Design and Distribution (Accountants) - AFSL
Version
3.0 -
12 Jan. 2023
Document | Version | Type | Date |
---|---|---|---|
Design and Distribution Policy (Distributors) - AFSL | 3.0 | Policy | 12 Jan. 2023 |
Design and Distribution Mindmap - ACL, AFSL | 1.0 | Mindmap | 1 Sept. 2021 |
Design and Distribution
Design and Distribution (Advice Providers) - AFSL
Version
3.0 -
12 Jan. 2023
Document | Version | Type | Date |
---|---|---|---|
Design and Distribution Policy (Distributors) - AFSL | 3.0 | Policy | 12 Jan. 2023 |
Design and Distribution Mindmap - ACL, AFSL | 1.0 | Mindmap | 1 Sept. 2021 |
Design and Distribution
Design and Distribution - ACL
Version
1.0 -
5 Oct. 2021
Document | Version | Type | Date |
---|---|---|---|
Design and Distribution Policy (includes credit licensees and credit representatives) - ACL | 1.0 | Policy | 5 Oct. 2021 |
Target Market Determination – Rewards Program Credit Card - ACL | 1.0 | Tool | 5 Oct. 2021 |
Design and Distribution Mindmap - ACL, AFSL | 1.0 | Mindmap | 1 Sept. 2021 |
Appointments and Terminations
Appointments - ACL
Version
3.0 -
29 Sept. 2021
Document | Version | Type | Date |
---|---|---|---|
Appointing a Responsible Manager and/or Key Person Policy - ACL | 1.0 | Policy | 15 Jan. 2021 |
Representatives Appointing, Reference Checking and Reference Giving Policy - ACL | 3.0 | Policy | 29 Sept. 2021 |
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 |
Reference Request (Mortgage Broker) - ACL | 1.0 | Tool | 29 Sept. 2021 |
Consent Form (Mortgage Broker) - ACL | 1.0 | Tool | 29 Sept. 2021 |
Appointing a Responsible Manager Checklist Template - ACL | 1.0 | Tool | 11 Nov. 2020 |
Appointment by Authoriser Form - ACL | 1.0 | Tool | 11 Nov. 2020 |
Authorisation - Authoriser Form - ACL | 1.0 | Tool | 11 Nov. 2020 |
Credit Representative Form - ACL | 1.0 | Tool | 11 Nov. 2020 |
Employee of a Licensee Form - ACL | 1.0 | Tool | 11 Nov. 2020 |
Support Resources
HN Documents Current List
Version 48.0
-
8 Nov. 2024
Other
2024 Compliance Trends Survey Report - ACL, AFSL, Wholesale
Version 1.1
-
15 June 2024
Reporting Obligations (Breach Reporting)
Breaches and Incidents Register - ACL
Version 3.0
-
5 Dec. 2023
Reporting Obligations (Breach Reporting)
Breaches and Incidents Register - AFSL
Version 7.0
-
1 Dec. 2023
Other
2023 Compliance Trends Survey Report - ACL, AFSL, Wholesale
Version 1.0
-
28 June 2023
Reporting Obligations (Breach Reporting)
Breaches and Incidents Register - Wholesale
Version 2.0
-
31 May 2023
Support Resources
Sample Policy
Version 2.0
-
7 March 2023
Support Resources
Documents Guide - ACL, AFSL, Wholesale
Version 4.0
-
7 Dec. 2022
Support Resources
Article: High Court to provide clarity on the meaning of Personal and General Financial Product advice
Version 1.0
-
8 Feb. 2022
Support Resources
Article: Changes to Breaches, References, DDO, Hawking, Add-On Insurance, and IDR
Version 1.0
-
8 Feb. 2022