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Best Interests Checklist
Features & Benefits
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.
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1.0
Suitable For
Financial advice licensees and Financial advisers
$40.00 Add to cart
Compliance Assurance Board – Combined Agenda and Minutes
Features & Benefits
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.
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1.0
Suitable For
Financial advice licensees
$40.00 Add to cart
Compliance Assurance Board Charter
Features & Benefits
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.
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1.0
Suitable For
Financial advice licensees
$70.00 Add to cart
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.
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1.0
Suitable For
Financial advice licensees
$300.00 Add to cart
CyberSecurity Risk Assessment
Features & Benefits
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.
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1.1
Suitable For
Financial advice licensees
$30.00 Add to cart
test
$0.00 Add to cart
Testing DF
Testing DF
$0.00 Add to cart

IMPORTANT:

Any advice on this website is general only and should not be relied on as a substitute for legal advice tailored to your situation. imac legal & compliance pty ltd trades as imac legal and as imac compliance. We will always let you know beforehand whether we are acting as a law firm or as a compliance consultancy (and not as a law firm) for a particular matter. You have several rights and protections under the law when we act as a law firm.

Liability limited by a scheme approved under Professional Standards Legislation when providing legal services.