It’s critical that you document your compliance measures as evidence of compliance and to support your people in meeting your compliance requirements. Every document that we provide is tailored to your business – what you do and how you do it. We can design and provide the following documents:
- Risk and Compliance Manual
- Monitoring Programs for insurers and AFS Licensees covering material service providers, authorised representatives, employees etc
- Registers – incidents/breaches, complaints, training and conflicts of interest
- Stand-alone obligation register including APRA Prudential Standards, AFSL obligations, binder requirements (including Lloyds LMA3113A) and Industry Code of Practices
- Financial Crime and other Policies