Afsl compliance manual

Select AFSL Compliance Training Manual VERSION SAF The purpose of this manual This manual sets out Direction Advice Group's (DAG's) responsibilities/obligations under its Australian financial services license (AFSL). It also sets out Direction Advice Group's policies and processes relating to how it addresses its legal obligations and its AFSL conditions as well. An Australian Financial Services Licence (AFSL) holder is required by law to implement an array of compliance measures. Sophie Grace understands the frustration associated with .

Select AFSL Compliance Training Manual VERSION SAF The AFSL Compliance Manual is an umbrella “compliance plan” supporting the other procedures in the manual. It describes the necessary compliance requirements of the business, personnel responsible for the AFSL services and the roles of the compliance and other committees that have oversight of the AFSL compliance. HN Documents – Holley Nethercote. Are you daunted by the number of documents and procedures you need to run a financial services or credit services business? Don’t be. Rather than re-invent the wheel, we make available a comprehensive suite of templates and procedures that are prepared by our own expert consultants, compliance managers and.

1 de jul. de This compliance manual outlines the responsibilities of the Licensee under its limited. Australian Financial Services licence (AFSL). compliance manual. Compact has prepared template “proof” documents and pre-populates these and your licence application for you, as well as providing some. Experienced compliance support at both an adviser and AFSL level to ensure you meet Compliance manual, including policy and procedures – This templated.