Compliance Diary


Features & Benefits

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.


Suitable For
Financial advice licensees

SKU: CDICT Category: Tag:


The Compliance Diary is designed for Small-to-Medium advice licensees. It is a simple yet comprehensive and effective tool for running your compliance program. It’s the critical foundation of your compliance fitness® program and it’s the nerve centre that tells you what to do next. It lays out, at a high level, each of the compliance exercises you need to do to run your compliance program and feeds regular activities into your Compliance Assurance Board (‘CAB’) meetings. The Compliance Diary is your compliance fitness® blueprint.


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