Incident & Breach Management Register


This register enables the Insurance broker to record all incidents and breaches of financial services laws and the Insurance brokers Code of Practice across the organization in a central repository and includes the analysis and treatment of the incident & breach. The data within the register enables a view to be formed of the adequacy of the compliance arrangements of the Insurance Broker in respect of its AFSL and Code of Practice obligations.

Additional information


Downloadable Excel Document

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