Showing all 7 results
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Best Interests Checklist
$40.00 Add to cartFeatures & Benefits
Meeting the Best Interests Safe Harbour requirements as well as your record keeping requirements is easy with the Best Interests checklist. Used properly, it will clearly demonstrate the steps an adviser has taken to meet the ‘safe harbour’ requirements.
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1.0Suitable For
Financial advice licensees and Financial advisers -
Compliance Assurance Board – Combined Agenda and Minutes
$40.00 Add to cartFeatures & Benefits
Ensure you have a clear documentary record of the business of your Compliance Assurance Board with these combined Agenda & Minutes. They can be tailored to meet your requirements.
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1.0Suitable For
Financial advice licensees -
Compliance Assurance Board Charter
$70.00 Add to cartFeatures & Benefits
The Compliance Assurance Board is your main compliance forum for managing your ongoing compliance obligations and compliance program. It sets the groundwork for how you manage your ongoing compliance obligations.
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1.0Suitable For
Financial advice licensees -
Compliance Diary
$300.00 Add to cartFeatures & Benefits
The Compliance Diary captures your ongoing Chapter 7 and AFSL obligations and helps you set up an ongoing program of compliance activities, tailored to your requirements, so you can meet all your ongoing compliance obligations. You set annual, six monthly, quarterly, monthly and ad hoc compliance activities so you can be sure you have addressed all your regulatory obligations.
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1.0Suitable For
Financial advice licensees -
CyberSecurity Risk Assessment
$30.00 Add to cartFeatures & Benefits
A practical cybersecurity risk assessment for small to medium-sized financial services businesses. Quickly and easily identify and rectify weaknesses in your cybersecurity arrangements that could lead to breaches and loss.
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1.1Suitable For
Financial advice licensees -
test
$0.00 Add to cart -
Testing DF
$0.00 Add to cartTesting DF
