Wright Compliance Management has a comprehensive library of policies as required by an AFS Licence. The individual policies cover:
- Anti-Money Laundering and Counter Terrorism Financing Program;
- Compliance Policy and Schedule;
- Obligations Register;
- Regulatory Reporting Table;
- Conflict of Interest Policy;
- CPD Policy;
- Internal Dispute Resolution Policy;
- Financial Resources Policy;
- Organisational Competence Policy;
- Outsourcing Policy;
- Privacy Policy;
- Product Distribution Policy;
- Representatives and Human Resources Policy;
- Research Policy;
- Risk Management Policy;
- IT Resources Policy; and
- Underwriter Policy.
All policies are supported by procedural documentation including Registers, Checklist and Forms as relevant to the specific policy.
Policies from the Policy Library can be purchased as templates (individual or packaged) or customised to suit client needs, ready for review and implementation. Wright Compliance Management can provide practical guidance and training to relevant staff to assist in this process.
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