Compliance Policy
$275.00
A comprehensive policy template setting out an approach and key features of a compliance management system in line with the general obligations of a general insurance broking AFS Licence holder.
The Compliance Policy outlined aligns with the Australian Financial Services (AFS) licensing requirements, specifically addressing how AFS licensees must comply with general obligations, licence conditions, and relevant financial services laws.
This policy is structured based on ASIC’s Regulatory Guide 104 and Australian Standard AS ISO 19600:2015, focusing on key compliance areas:
- Compliance Responsibilities: Ensuring accountability at all organisational levels.
- Compliance Resources: Allocating necessary resources to support compliance.
- Controls and Measures: Implementing controls to meet obligations.
- Breach Reporting: Reporting and managing breaches per Regulatory Guide 78.
- Monitoring and Review: Evaluating and improving compliance performance regularly.
This Compliance Policy is also available as a bundled Compliance Policy Pack with the following additional documents / resources referenced within the Compliance Policy:
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- Obligations Register
- Regulator Reporting Table
- Key Compliance Schedule
- Incident Notification and Assessment Form
- Incident and Breach Register
Wright Compliance Management documents are available for immediate download after purchase. All policies contain instructions on how to customise. If you have any queries or need assistance, please contact us.