AFSL Compliance arrangements

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$250.00

inc GST

This procedure* is an umbrella "compliance plan" supporting the other procedures in the manual.  It describes the necessary compliance personnel and committees, and their roles.  It:

  • meets the requirements of ASIC's RG 104 (Licensing: Meeting the general obligations); and
  • is benchmarked against the Australian Standard on Compliance Programs (ISO 19600).

Note: this procedure contains the Compliance Diary, also available as a separate product.

What's included?

Once payment is received, the procedure is delivered via email as a downloadable file(s) in Word and/or Excel format, together with a tax invoice. 

*This procedure(s) will not comply with the regulatory requirements if it is not correctly tailored to your particular business and kept up-to-date.  Compact - Compliance & Training is not responsible for the tailoring and implementation or upkeep of each procedure once purchased by the licensee.  Compact - Compliance & Training can assist you tailor these documents.  The first step towards keeping your procedure(s) up-to-date is to subscribe to our tailored monthly regulatory update service, T-REX.  The content of each procedure will vary depending on legislative and policy changes and updates, as well as the nature of the licensee.  This procedure(s) is current on the date of purchase.  Whilst every care is taken in their preparation, Compact - Compliance & Training makes no representation that these documents are fit for your particular purpose, and accepts no responsibility for any loss or damage or cost incurred as a result of their use.  Compact - Compliance & Training takes no responsibility for formatting or other errors resulting from software errors, defects, incompatibility or viruses.






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