Compliance for Responsible Managers
what responsible managers need to know: A package of 4 videos (total time 2 hours) plus draft policies and checklists and a 140 page manual for RM's.
Responsible Managers Manual
An introduction to the obligations of responsible managers for AFSL and credit licensees updated to 1 January 2018
Transforming compliance for financial services providers
a 1 hour video on how to implement an effective compliance framework which will save you time and help you to better manage risks
Breach Reporting Guide for financial services and credit licensees
A 24 page eBook on breach reporting updated to January 2018
Compliance Reporting Calendar
Annual compliance reporting obligations—what you need to know: updated 1 January 2018.
Document retention checklist
A checklist of records required to be kept under regulatory obligations: updated 1 January 2018.