AFS Licensee Manual

Suitable for:

• General insurance brokers and underwriting agencies
• Financial planning and life advisers
• Funds management businesses
  
  

Contains detailed guidance and procedures on the AFS and other regulatory requirements, covering:

REGULATION & GOVERNANCE.

• Licensing
• Conflicts of interest
• Privacy
• Data breach reporting
• Complaints & disputes
• Insurance

RISK & COMPLIANCE.

• Risk management
• Compliance management
• Adviser monitoring & supervision
• Breach management

FINANCIAL REQUIREMENTS.

• Financial resources
• Financial auditing
• Reporting to ASIC
• Financial management
• Client money
• AML-CTF

BUSINESS SYSTEMS.

• Business planning
• Records management
• Technology management
• Security
• Business continuity

Benefits: 

• Comprehensive one-stop guide
• Seamlessly integrates numerous Acts and Regulations, Class Orders, Regulatory Guides, Info Sheets and industry Codes of Practice
• Includes coverage of the new mandatory data breach reporting regime
• Fully footnoted
• Helps you identify and understand your AFS obligations
• Contains customisable policies, procedures and templates
  
• Includes guidance on implementing the requirements
• Detailed table of contents ensures easy navigation
• Packed full of tips, traps and diagrams
• Supports your quality assurance programme
• Regularly updated to reflect changing regulation, policy and practice - an additional fee applies
  

Use:

• Convenient reference guide
• Customise to create policies and procedures for your business
• Create 'Additional Proofs' for your licence application or variation
• Combine with the Insurance Broker, Underwriter or Financial Adviser manual for a complete compliance management system