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Document Version Type Date
AFSL Compliance Policies - AFSL - Compilation 10 July 2024
Running an AFSL – Tools - AFSL - Compilation 12 July 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 2.0 Tool 15 June 2022
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 2.1 Register 7 July 2023
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
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 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 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
Document Version Type Date
AFSL Compliance Policies - Wholesale - Compilation 10 July 2024
Running an AFSL – Tools - Wholesale - Compilation 10 July 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
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