Compliance Calendar for Financial Planners and Life Advisers
$499.00 inc GST
A comprehensive calendar of annual compliance obligations suitable for Financial planners Life advisers.
This product is currently out of stock
Features:
A summary of annual compliance tasks and how to complete them, including:
AUTHORISED REPRESENTATIVES.
- Pre-appointment checks
- Cross endorsements and AR agreements
- Change of details / authorisations
- Monitoring and supervision
- Termination procedures
- ASIC notifications
ORGANISATIONAL CAPACITY.
- Review adequacy of human resources
- Responsible manager checks
- Business and succession plans
- Review training plans
- OH&S review
COMPLIANCE / RISK MANAGEMENT.
- APL review and update
- Conflicts register review
- Review and report suspicious matters
- Monitor complaints and breach management
- Review outsourced arrangements
- Business continuity planning
FINANCIAL MANAGEMENT AND AUDIT.
- Review financial resources
- ASIC notifications
- Review and reconcile trust account
- Financial audit
- ASIC reporting
- Review insurance requirements
Benefits:
- Covers all AFS and other compliance requirements
- Includes best practice guidelines
- Enables you to diarise timing and frequency
- Supports your quality assurance programme
Use:
- Convenient reference guide
- Customise to plan and record your annual compliance activities
- Combine with the AFS Licensee Manual and Financial Adviser Manual for a complete compliance management system
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