Articles
Compliance Update - Compensation Arrangements (Nov 2009)
Summary of Financial Services Exemptions (Jul 2008)
Compliance Guides
AFS Disclosure Requirements for Financial Planners (Nov 2009)
Award Differences BFI vs IIA
AFS Licencing Process Compliance Health Check HR Health Check Distribution of Financial Products under FSR Law Financial Planning & Life Risk Clients: Retail or Wholesale? PI Disclosure Wheel of Retail Disclosure for General Insurance Brokers Wheel of Retail Disclosure for Financial Planners
Tips and Traps
Take a look at some of our latest tips and traps... Life after the SoAA (November 2009) Appointing and Notifying Authorised Representatives Are your CARs Employees on the ASIC Register? Broking Manager Qualifications Broker Websites - Tips & Traps Cancellation of Insurance Contracts Cancellations and Mid Term Refunds Certificates of Currency - a Trap for Brokers Co-Badging Proposal Forms Company Names, Business Documents and Advertising Comissions, Mixed Money and Trust Accounts Commissions and Conflicts Complaints Register – To Log or Not to Log? End of Year Financial Reports Key Person Conditions Premium Refunds Referral Arrangements Updated Financial Services Guides