Key Compliance Schedule
$175.00
A template working list of all the dates necessary to drive the requisite actions, reviews and reporting as per the Licensees compliance management system. It is designed to include all scheduled compliance related tasks, including frequency, due dates and responsibilities.
All AFS Licensees must have documented and effective compliance measures to demonstrate that the business is able to comply with the general obligations, licence conditions and the financial services laws that may apply.
This Key Compliance Schedule is a template designed to act as a working list of all the dates necessary to drive the requisite actions, reviews and reporting as per the Licensees compliance management system. Content can include frequency, due dates and responsibilities on:
- Compliance, operational and employee policies and procedures reviews;
- Statutory, financial and product issuer reporting deadlines;
- Compliance and client file reviews;
- IT procedures and backup data testing;
- Renewal dates for professional indemnity insurance;
- CPD/Training Plan deadlines and status reporting; and
- Regular meeting scheduling.
The register comes in excel form, making it easy to filter and use as a reporting tool.
This Key Compliance Schedule is also available as a bundled Compliance Policy Pack with the following additional documents / resources:
- Compliance Policy
- Obligations Register
- Regulator Reporting Table
- 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.