AFSL Client review and remediation

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$450.00

inc GST

This procedure* covers when review and remediation should be undertaken, the review process, how to determine remediation and other related matters such as record keeping, communicating with clients with regards to review and remediation and providing for external review.  It has been designed to comply with RG 256 – Client Review and Remediation Conducted by Advice Licensees, however, ASIC has indicated that this process is applicable to all review and remediation and is not limited to Advice Licensees.

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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