Compliance Products for AFS Licensees
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 with less than 5 advisers may purchase single site licence which entitles all staff to use the Manual. 2. Fees for larger Licensees depend on the number of advisers you have. 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.
COMPLIANCE PRODUCT LIST
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Prices for up to 5 Advisers
(Inc GST) |
|
GOLD BOOK BUSINESS OPERATIONS MANUAL - An indispensable guide to operating a financial advisory business.
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| 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
|
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Compliance Helpline - Annual subscription of up to 6 hours of telephone and/or email support on compliance, legal and regulatory matters.
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$950.00
|
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Authorised Representative and Distributor Management System - A comprehensive procedures and tools for all areas of Authorised Representative management. 
|
$3,025.00 |
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COMPLIANCE TOOLS
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| 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 |
| PDS Content Guide (for insurance intermediaries only) |
$148.50 |
|
| SoA Template and Content Guide (for financial planners only) |
$495.00 |
| RoA Template and Content Guide (for financial planners only) |
$165.00 |
| SoA Template and Content Guide (for insurance intermediaries only) |
$302.50 |
| Product Research Policy and Procedures (for insurance intermediaries only) Gearing Policy and Prcedures Template (for financial planners only) |
$550.00 $330.00
|
| 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 |
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| 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 |
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| "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. |
$3,740.00 |
| Criminal History and Bankruptcy Checks (Price per person) |
$231.00pp |
| Licence Application Review |
$2,310.00
|
| Preparation of "Core" Proofs |
$7,700.00 |
| Preparation of Additional Proofs required by ASIC. |
$418.00/hr |
| AFS Technical Support |
$418.00/hr |
For more information about our compliance products, call our Sydney office or email officeadmin@goldseal.net.au
