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Manual
Providing Advice: Compliance Manual - AFSL, Wholesale
23 April 2024
| Document | Version | Type | Date |
|---|---|---|---|
| Providing Advice Compliance Manual Part A (Key Obligations) - AFSL | - | Compilation | 19 March 2024 |
| Providing Advice Compliance Manual Part B (Specific Advice Areas) - AFSL | - | Compilation | 23 April 2024 |
| Providing Advice – Tools - AFSL | - | Compilation | 12 Feb. 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 |
Manual
Running an ACL: Compliance Manual - ACL
23 April 2024
| Document | Version | Type | Date |
|---|---|---|---|
| ACL Compliance Policies - ACL | - | Compilation | 23 April 2024 |
| Running an ACL – Tools - ACL | - | Compilation | 23 April 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 |
Manual
Running an AFSL: Compliance Manual - AFSL
19 March 2024
| Document | Version | Type | Date |
|---|---|---|---|
| AFSL Compliance Policies - AFSL | - | Compilation | 19 March 2024 |
| Running an AFSL – Tools - AFSL | - | Compilation | 12 March 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 |
Manual
Running an AFSL (W'sale): Compliance Manual - Wholesale
19 March 2024
| Document | Version | Type | Date |
|---|---|---|---|
| AFSL Compliance Policies - Wholesale | - | Compilation | 19 March 2024 |
| Running an AFSL – Tools - Wholesale | - | Compilation | 14 Sept. 2023 |
| 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 |