Compliance Policy Pack
$990.00
A comprehensive compliance framework document set, formed in line with the general obligations of a general insurance broking AFS Licence holder to provide the key features of a compliance management system.
All AFS Licensees must have effective compliance measures to ensure adherence to general obligations, licence conditions, and financial services laws.
The Compliance Policy Pack provides a comprehensive compliance framework for general insurance broking AFS Licensees, including:
- Compliance Policy: An overview of the organisation’s compliance management system, aligned with ASIC’s Regulatory Guide 104 and Australian Standard AS ISO 19600:2015.
- Obligations Register: A detailed list of relevant AFS Licensee obligations under the Corporations Act, ASIC Act, Privacy Act, and applicable industry codes, with guidance on reportable breaches (per Regulatory Guide 78).
- Regulator Reporting Table: A summary of notification and reporting requirements to regulators, including timeframes and costs.
- Key Compliance Schedule: A template working list of all the dates necessary to drive the requisite actions, reviews and reporting as per the Licensees compliance management system
- Incident Notification and Assessment Form: Guidance on breach handling and reporting, including tests to assess repeatability, ensuring a comprehensive breach assessment record.
- Breach Register: A tool designed to record and analyse incident and breach data, in line with ASIC’s reporting requirements.
These documents can be purchased individually or as a bundled pack.
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.