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AFSL Compliance Program Template Comparison Chart

Below is a breakdown of the compliance policies you will have access to with each AFSL subscription plan.

DOCUMENT

AFSL RETAIL

AFSL WHOLESALE

Adequacy of Resources Policy

Advice Policy

AML/CTF Program

Anti-Hawking Policy

Authorised Representatives Manual

Breaches Policy and Register

Business Continuity Plan

Client Money Reconciliation and Reporting Policy

Client Money Policy and Spreadsheet

Complaints Management Policy and Register

Compliance Calendar

Compliance Plan

Conflicts of Interest Policy and Register

CPD Policy

Design and Distribution Policy

Dispute Resolution Policy

Document Retention Policy

External Service Providers Register

Financial Checklist

Gifts and Benefits Register

Marketing Checklist

Outsourcing Policy

Personal Dealing and Insider Trading Policy

Privacy Policy

Privacy Statement

Representatives Policy and Register

Responsible Manager Policy

Risk Management Policy

Risk Assessment and Management Matrix

Training Policy and Register