Compliance Products

Gold Seal's compliance products and services are scalable and suitable for use by businesses of all sizes.

There are versions for insurance brokers, underwriting agencies and financial planning businesses - customised for the needs of each sector.

Important information for Financial Planners and Life Advisers: 1. Independent AFS Licensees may purchase single site licence which entitles all staff to use the Manual. 2. Fees for Dealer Groups depend on the number of Head Office staff and adviser businesses that you have appointed as authorised representatives. To enable us to provide a quotation for your dealer group, please download and complete the Product Order Form. 3. FPA and AIOFP members receive a 5% discount on all Gold Seal compliance products. Remember to quote your FPA membership number or to note your AIOFP membership in the Order Form

 

OMPLIANCE PRODUCT LIST	Price (Inc GST)
GOLD BOOK BUSINESS OPERATIONS MANUAL - An indispensable guide to operating a financial advisory business. Read more
Initial Licence Fee (for First Time Users)	$1,265.00
Update Service 12-month subscription (for current users)	$715.00
Initial Licence and Update Service (Save 10% by subscribing to both)	$1,782.00
Gold Seal Compliance Helpline - Annual subscription of 3 hours of telephone and/or email advice service. Read more	$935.00
Authorised Representative and Distributor Management System - A comprehensive procedures and tools for all areas of Authorised Representative management. Read more	$3,025.00
COMPLIANCE TOOLS
Compliance Calendar	$462.00
Compliance Management Toolkit	$313.50
Business Continuity Planner	$302.50
IT Strategy, Plan and Disaster Recovery Planner	$291.50
Business Planning Template	$302.50
ADVICE TOOLS
FSG Template and Content Guide	$302.50
SoA (and RoA) Template and Content Guide (for financial planners only)	$495.00
SoA Template and Content Guide (for insurance intermediaries only)	$302.50
Product Research Policy and Procedures (for insurance intermediaries only)	$550.00
Letter of Engagement Template (for insurance brokers only)	$148.50
Standard Broking Letters and Manuals (for insurance broking only)	$605.00
Client Service Plan (for insurance brokers only)	$148.50
Uninsured Risk Checklist (for insurance brokers only)	$148.50
TEMPLATE AGREEMENTS
Authorised Representative Agreement	$352.00
Distributor Agreement (for insurance intermediaries only)	$352.00
Broker Administration Agreement (for underwriting agencies only)	$352.00
Referrer Agreement	$302.50
Outsource Agreement	$302.50
AUSTRALIAN FINANCIAL SERVICES (AFS) LICENSING
"Do-It-Yourself" AFS Licence Kit - a toolkit to help you prepare your own licence application. Suitable for small to medium sized businesses seeking straighforward authorisations. Read more	$3,740.00
Criminal History and Bankruptcy Checks (Price per person)	$220.00pp
Licence Application Review (Provided & signoff by Gold Seal Legal Pty Ltd. To be invoiced separately)	$2,145.00
Preparation of "Core" Proofs	$4,840.00
Preparation of "Additional" Proofs (Hourly rate, capped at $7,370.00 incl GST)	$385.00ph
AFS Technical Support (Hourly rate invoiced fortnightly)	$385.00ph

Note: All prices include GST and are effective as at 1st July 2009. Prices may change without notice.

---

 

Download Gold Seal Compliance Product Order Form

---

For more information about our compliance products, call our Sydney office or email officeadmin@goldseal.net.au