$70.00
The Compliance Assurance Board is your main compliance forum for managing your ongoing compliance obligations and compliance program. It sets the groundwork for how you manage your ongoing compliance obligations.
version
1.0
Suitable For
Financial advice licensees
The Compliance Assurance Board is your main compliance forum for managing your ongoing compliance obligations and compliance program. The CAB Charter contains standard rules which you can tailor to your requirements. E.g. whether you wish for the CAB to have formally delegated Board powers; whether it is a voting body; who the members are; what constitutes a quorum.
Meeting the Best Interests Safe Harbour requirements as well as your record keeping requirements is easy with the Best Interests checklist. Used properly, it will clearly demonstrate the steps an adviser has taken to meet the ‘safe harbour’ requirements.
version
1.0
Suitable For
Financial advice licensees and Financial advisers
The Compliance Diary captures your ongoing Chapter 7 and AFSL obligations and helps you set up an ongoing program of compliance activities, tailored to your requirements, so you can meet all your ongoing compliance obligations. You set annual, six monthly, quarterly, monthly and ad hoc compliance activities so you can be sure you have addressed all your regulatory obligations.
version
1.0
Suitable For
Financial advice licensees
A practical cybersecurity risk assessment for small to medium-sized financial services businesses. Quickly and easily identify and rectify weaknesses in your cybersecurity arrangements that could lead to breaches and loss.
version
1.1
Suitable For
Financial advice licensees
Ensure you have a clear documentary record of the business of your Compliance Assurance Board with these combined Agenda & Minutes. They can be tailored to meet your requirements.
version
1.0
Suitable For
Financial advice licensees
Established in 2015, imac legal & compliance helps small and medium businesses to meet their legal requirements and achieve their commercial objectives.
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