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Keeping your business compliance documentation and procedures up to date and in a readily accessible structure is a critical business issue once you have gained an AFSL Licence


Complaints

AS ISO 10O02-2006 Customer SatisfactionComplaint Register TemplateComplaint Response SampleComplaints FormComplaints OverviewComplaints Policy and ProceduresFOS BrochureFOS Terms of ReferenceP.I. Assessment ToolRG126 – Compensation & InsuranceRG165 – Internal and External Dispute Resolution

Compliance

Conflict of Interest

Credit

Employment

External Representatives

Financial

Information Technology

Occupational Health and Safety

Operational

Approved Product Listing TemplateAPRA Data Collection Explanatory NoteAPRA Form 701APRA Instruction Guide – Form 701ASIC Act 2001Banned Product Listing TemplateBroking Fees Table TemplateBroking Letter of AppointmentBroking Letter of EngagementBroking Letter of ResignationBroking Letter of Review and QuoteBroking Policy and ProceduresBroking Service Standards SampleClass Order – Facilitating On Line Disclosure CO 10-1219Class Order – FSG Time Critical CO 04-1055Class Order – Oral General Advice CO 05-1195Class Order – PDS Requirements – General Insurance Quote CO 11-842Competition and Consumer Act 2010Corporations Act 2001Corporations Regulations 2001 (Combined)Do Not Call Briefing NoteDocument Register TemplateFact Finder – BusinessFact Finder – DomesticFact Finder Needs Analysis – DisablementFact Finder Needs Analysis – MotorFact Finder Needs Analysis – TradeFSG (Licensee) TemplateFuture of Financial Advice OverviewGeneral Insurance Code of Practice OverviewGeneral Advice Warning SampleGeneral Insurance Code of Practice 2012General Insurance Code of Practice 2014General Insurance Code of Practice 2014 – FOS Guidance PaperImportant Notices TemplateInsurance Act 1973Insurance Brokers Code of PracticeInsurance Brokers Code of Practice – ApplicationInsurance Brokers Code of Practice OverviewInsuranceContracts84Insurance Contracts Act Regulations (1985)Insurance Regulations 2002Insured Risk ChecklistInsurer Incentive Scheme Disclosure SampleMarine Insurance Act 1909Oral Disclosure Script TemplateProduct Research OverviewProduct Research Policy and ProceduresRenewal Checklist TemplateRG168 – DisclosureRG175 – Adviser Conduct & DisclosureRG182 – Dollar DisclosureRG221 – Facilitating Online Financial DisclosureRG234 – Advertising Financial Products & AdviceRG244 – Information & AdviceRG245 – Fee Disclosure StatementsRG36 – Advice and Arranging GuideRG38 – The Hawking ProhibitionsSOA (All classes)(AR) TemplateSOA (All classes)(Licensee) TemplateSOA (Life-Financial Planning) – SampleUFI NoticeUFI Placement ChecklistWholesale Broker Agreement Template

Organisational

Planning

Privacy

Risk Management

Training