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Document Version Type Date
AFSL Compliance Policies - AFSL - Compilation 19 March 2024
Running an AFSL – Tools - AFSL - Compilation 12 March 2024
Appointing a Representative Checklist (Financial Adviser) - AFSL 2.0 Tool 10 Feb. 2022
Appointing a Representative Checklist (Non Financial Adviser) - AFSL 2.0 Tool 1 Oct. 2021
Breaches and Incidents Register - AFSL 7.0 Register 1 Dec. 2023
Complaints Register - AFSL 3.0 Register 9 Dec. 2022
Guide to IDR Reporting - AFSL 2.0 Guide 14 Nov. 2023
Conflicts of Interest Register - AFSL 2.0 Register 14 Dec. 2022
CPD Plan and Register (Excel Version) - AFSL 7.0 Register 9 May 2023
CPD Plan and Register (Word Version) - AFSL 3.0 Register 9 May 2023
General Advice Review Template - AFSL 2.0 Tool 8 Sept. 2022
Logbook Hours - AFSL 1.0 Tool 15 June 2022
Monitoring and Supervision Register - AFSL 2.0 Register 13 Nov. 2020
Offboarding a Representative Checklist - AFSL 1.0 Tool 27 April 2023
Personal Advice File Review Template - AFSL 2.0 Tool 8 Sept. 2022
Provisional Relevant Provider Professional Year Plan Template - AFSL 2.0 Tool 15 June 2022
Quick Guide - What Tool to Use When - AFSL 1.0 Guide 16 June 2023
Representative Register - AFSL 1.0 Register 1 Jan. 2018
Representative Review Template - AFSL 2.0 Tool 8 Sept. 2022
Risk Register - AFSL 2.1 Register 7 July 2023
Soft Dollar Register - AFSL 2.0 Register 15 June 2023
Target Market Determination - Payments - NCP Facilities - Forward Foreign Exchange Contracts - AFSL 2.0 Tool 7 Oct. 2021
Target Market Determination - Payments - NCP Facilities - Spot Foreign Exchange Contracts - AFSL 2.0 Tool 7 Oct. 2021
Target Market Determination - CFD Provider - AFSL 3.0 Tool 19 Oct. 2023
Target Market Determination Checklist - Product Issuer - AFSL 1.0 Tool 19 Oct. 2023
Document Version Type Date
AFSL Compliance Policies - Wholesale - Compilation 19 March 2024
Running an AFSL – Tools - Wholesale - Compilation 14 Sept. 2023
Appointing a Representative Checklist - Wholesale 1.0 Tool 15 Nov. 2022
Breaches and Incidents Register - Wholesale 2.0 Register 31 May 2023
Complaints Register - Wholesale 1.0 Register 15 Nov. 2022
Conflicts of Interest Register - Wholesale 2.0 Register 19 May 2023
CPD Plan and Register (Excel Version) - Wholesale 1.0 Register 15 Nov. 2022
CPD Plan and Register (Word Version) - Wholesale 1.0 Register 15 Nov. 2022
General Advice Review Template - Wholesale 1.0 Tool 15 Nov. 2022
Monitoring and Supervision Register - Wholesale 1.0 Register 15 Nov. 2022
Personal Advice File Review Template - Wholesale 1.0 Tool 15 Nov. 2022
Representative Review Template - Wholesale 1.0 Tool 15 Nov. 2022
Risk Register - Wholesale 2.0 Register 28 June 2023
Document Version Type Date
ACL Compliance Policies - ACL - Compilation 19 March 2024
Running an ACL – Tools - ACL - Compilation 27 Feb. 2024
Breaches and Incidents Register - ACL 3.0 Register 5 Dec. 2023
Representative Register Template - ACL 1.0 Register 11 Nov. 2020
Appointing a Representative Checklist (Non Mortgage Broker) - ACL 3.0 Tool 29 Sept. 2021
Appointing a Representative Checklist (Mortgage Broker) - ACL 1.0 Tool 29 Sept. 2021
Complaints Register - ACL 3.0 Register 13 Dec. 2022
Guide to IDR Reporting - ACL 2.0 Guide 14 Nov. 2023
Conflicts of Interest Register - ACL 2.0 Register 18 May 2023
Target Market Determination – Rewards Program Credit Card - ACL 1.0 Tool 5 Oct. 2021
Enforcement Registers - ACL 2.0 Register 27 Aug. 2022
Monitoring and Supervision Register - ACL 2.0 Register 20 Dec. 2022
Credit Assessment File Review Template - ACL 2.0 Tool 20 Dec. 2022
Representative Review Template - ACL 2.0 Tool 20 Dec. 2022
Quick Guide - What Tool to Use When - ACL 1.0 Guide 5 Jan. 2023
Risk Register - ACL 2.1 Register 5 July 2023
CPD Register - ACL 1.0 Register 29 Jan. 2021
Document Version Type Date
Providing Advice Compliance Manual Part A (Key Obligations) - AFSL - Compilation 19 March 2024
Providing Advice Compliance Manual Part B (Specific Advice Areas) - AFSL - Compilation 19 March 2024
Providing Advice – Tools - AFSL - Compilation 12 Feb. 2024
Financial Services Guide (FSG): Adviser Profile - AFSL 3.0 Tool 17 Sept. 2021
Financial Services Guide (FSG): Authorised Representative (AR) and Corporate Authorised Representative (CAR) Version - AFSL 5.0 Tool 17 Sept. 2021
Financial Services Guide (FSG): Licensee Version - AFSL 5.0 Tool 17 Sept. 2021
Financial Services Guide (FSG): Managed Discretionary Account - AFSL 1.0 Tool 9 June 2023
Financial Services Guide (FSG): Provisional Adviser Profile - AFSL 1.0 Tool 17 Sept. 2021
FSG Checklist Template - AFSL 3.0 Tool 30 March 2023
First Interview Letter Template - AFSL 2.0 Tool 8 Oct. 2020
Statement of Advice - AFSL 1.0 Tool 24 March 2022
Statement of Advice (IBR) - AFSL 1.0 Tool 7 Dec. 2022
ROA Template - AFSL 3.0 Tool 7 Dec. 2022
Sample Disclaimers and Warnings - AFSL 2.0 Tool 2 April 2020
Client Fact Sheet – Contributing To Super – Your Options - AFSL 4.0 Tool 17 Nov. 2022
Client Fact Sheet – Retirement Income – Your Options - AFSL 3.0 Tool 17 Nov. 2022
Client Fact Sheet – Death Benefits in Super – Your Options - AFSL 1.0 Tool 7 Dec. 2020
Financial Product Advice - Investment Products MDAs - AFSL, Wholesale
Version 1.1 - 19 March 2024
Document Version Type Date
MDA Advice Policy - AFSL 3.0 Policy 19 March 2024
MDA Service Client Register - AFSL 1.0 Register 29 May 2019
MDA Transaction File Note Template - AFSL 1.0 Tool 29 May 2019
AML/CTF Resources AML/CTF Documents (Remittance Network Provider)
Version 3.1 - 15 March 2024
Document Version Type Date
AML/CTF Program (Remittance Network Provider) 3.0 Program 16 Aug. 2023
AML/CTF Annexure C (Remittance Network Provider) 2.0 Tool 11 March 2022
AML/CTF Annexure D 2.0 Tool 11 March 2022
AML/CTF Risk Register (Remittance Network Provider) 2.0 Register 11 March 2022
AML/CTF Risk Register User Instructions 1.0 Guide 25 Feb. 2021
AML/CTF Compliance Officer Report 1.0 Tool 1 March 2021
AML/CTF Reporting Obligations Mindmap 1.0 Mindmap 26 Nov. 2019
Anti-Money Laundering and Counter-Terrorism Financing Act 2006 (AML CTF Act) – Overview of Obligations Mindmap 2.0 Mindmap 14 March 2024
AML/CTF Resources AML/CTF Documents (Remittance Service)
Version 3.1 - 15 March 2024
Document Version Type Date
AML/CTF Program (Remittance Services) 3.0 Program 16 Aug. 2023
AML/CTF Annexure C (Remittance Services) 2.0 Tool 11 March 2022
AML/CTF Annexure D 2.0 Tool 11 March 2022
AML/CTF Risk Register (Remittance Services) 2.0 Register 11 March 2022
AML/CTF Risk Register User Instructions 1.0 Guide 25 Feb. 2021
AML/CTF Compliance Officer Report 1.0 Tool 1 March 2021
AML/CTF Reporting Obligations Mindmap 1.0 Mindmap 26 Nov. 2019
Anti-Money Laundering and Counter-Terrorism Financing Act 2006 (AML CTF Act) – Overview of Obligations Mindmap 2.0 Mindmap 14 March 2024
AML/CTF Resources AML/CTF Documents (Digital Currency Exchange)
Version 3.1 - 15 March 2024
Document Version Type Date
AML/CTF Program (Digital Currency Exchange) 3.0 Program 16 Aug. 2023
AML/CTF Annexure C (Digital Currency Exchange) 2.0 Tool 11 March 2022
AML/CTF Annexure D 2.0 Tool 11 March 2022
AML/CTF Risk Register (Digital Currency Exchange) 2.0 Register 11 March 2022
AML/CTF Risk Register User Instructions 1.0 Guide 25 Feb. 2021
AML/CTF Compliance Officer Report 1.0 Tool 1 March 2021
AML/CTF Reporting Obligations Mindmap 1.0 Mindmap 26 Nov. 2019
Anti-Money Laundering and Counter-Terrorism Financing Act 2006 (AML CTF Act) – Overview of Obligations Mindmap 2.0 Mindmap 14 March 2024
AML/CTF Resources AML/CTF Documents (Product Issuer (Licensee))
Version 3.1 - 15 March 2024
Document Version Type Date
AML/CTF Program (Product Issuer (Licensee)) 3.0 Program 16 Aug. 2023
AML/CTF Annexure C (Product Issuer) 2.0 Tool 11 March 2022
AML/CTF Annexure D 2.0 Tool 11 March 2022
AML/CTF Risk Register (Product Issuer) 2.0 Register 11 March 2022
AML/CTF Risk Register User Instructions 1.0 Guide 25 Feb. 2021
AML/CTF Compliance Officer Report 1.0 Tool 1 March 2021
AML/CTF Reporting Obligations Mindmap 1.0 Mindmap 26 Nov. 2019
Anti-Money Laundering and Counter-Terrorism Financing Act 2006 (AML CTF Act) – Overview of Obligations Mindmap 2.0 Mindmap 14 March 2024
AML/CTF Resources AML/CTF Documents (CFD Issuer)
Version 3.1 - 15 March 2024
Document Version Type Date
AML/CTF Program (CFD Issuer) 3.0 Program 16 Aug. 2023
AML/CTF Annexure C (CFD Issuer) 2.0 Tool 11 March 2022
AML/CTF Annexure D 2.0 Tool 11 March 2022
AML/CTF Risk Register (CFD Issuer) 2.0 Register 11 March 2022
AML/CTF Risk Register User Instructions 1.0 Guide 25 Feb. 2021
AML/CTF Compliance Officer Report 1.0 Tool 1 March 2021
AML/CTF Reporting Obligations Mindmap 1.0 Mindmap 26 Nov. 2019
Anti-Money Laundering and Counter-Terrorism Financing Act 2006 (AML CTF Act) – Overview of Obligations Mindmap 2.0 Mindmap 14 March 2024
AML/CTF Resources AML/CTF Documents (Item 54 (Advice Provider))
Version 3.1 - 15 March 2024
Document Version Type Date
AML/CTF Program (Item 54 (Advice Provider)) 3.0 Program 16 Aug. 2023
AML/CTF Annexure C (Item 54) 2.0 Tool 11 March 2022
AML/CTF Annexure D 2.0 Tool 11 March 2022
AML/CTF Risk Register (Item 54) 2.0 Register 11 March 2022
AML/CTF Risk Register User Instructions 1.0 Guide 25 Feb. 2021
AML/CTF Compliance Officer Report 1.0 Tool 1 March 2021
AML/CTF Reporting Obligations Mindmap 1.0 Mindmap 26 Nov. 2019
Anti-Money Laundering and Counter-Terrorism Financing Act 2006 (AML CTF Act) – Overview of Obligations Mindmap 2.0 Mindmap 14 March 2024
AML/CTF Resources AML/CTF Documents (Combined Industries)
Version 3.1 - 15 March 2024
Document Version Type Date
AML/CTF Program (Combined Industries) 3.0 Program 16 Aug. 2023
AML/CTF Annexure C (Combined Industries) 2.0 Tool 15 June 2022
AML/CTF Annexure D 2.0 Tool 11 March 2022
AML/CTF Risk Register (Combined Industries) 2.0 Register 15 June 2022
AML/CTF Risk Register User Instructions 1.0 Guide 25 Feb. 2021
AML/CTF Compliance Officer Report 1.0 Tool 1 March 2021
AML/CTF Reporting Obligations Mindmap 1.0 Mindmap 26 Nov. 2019
Anti-Money Laundering and Counter-Terrorism Financing Act 2006 (AML CTF Act) – Overview of Obligations Mindmap 2.0 Mindmap 14 March 2024
Agreements Unfair Contract Terms - ACL, AFSL, Wholesale
Version 2.0 - 19 Feb. 2024
Document Version Type Date
Information Sheet - Changes to Unfair Contract Terms Laws - ACL, AFSL, Wholesale 2.0 Guide 19 Feb. 2024
Agreements Mutual Non-Disclosure Deed - ACL, AFSL, Wholesale
Version 1.0 - 2 Jan. 2024
Document Version Type Date
Mutual Non-Disclosure Deed - ACL, AFSL, Wholesale 1.0 Agreement 31 Dec. 2023
Cyber Resilience Cyber Resilience - ACL
Version 1.0 - 17 Nov. 2023
Document Version Type Date
Cyber Information Sheet - ACL 1.0 Tool 17 Nov. 2023
Privacy Privacy - ACL, AFSL, Wholesale
Version 2.3 - 6 Oct. 2023
Document Version Type Date
Data Breach Response Policy - ACL, AFSL, Wholesale 3.1 Policy 6 Oct. 2023
Privacy Management Policy - ACL, AFSL, Wholesale 4.0 Policy 20 April 2023
Data Breach Register - ACL, AFSL, Wholesale 1.0 Register 1 June 2019
Privacy Policy and Collection Statement (Privacy Policy) - ACL, AFSL, Wholesale 3.1 Tool 11 July 2023
Privacy Access Request Refusal Letter - ACL, AFSL, Wholesale 2.0 Tool 17 Feb. 2022
Role and Responsibilities of the DBRT Template - ACL, AFSL, Wholesale 1.0 Tool 27 May 2020
Cyber Resilience Cyber Resilience - AFSL
Version 2.0 - 6 Oct. 2023
Document Version Type Date
Cyber Information Sheet - AFSL 1.0 Tool 6 Oct. 2023
Advice Fees (including OFAs) Ongoing Advice (including FDS) - AFSL, Wholesale
Version 6.1 - 26 Sept. 2023
Document Version Type Date
Ongoing Fee Arrangement (OFA) Policy Option A - AFSL 8.1 Policy 1 Sept. 2023
Ongoing Fee Arrangement (OFA) Policy Option B - AFSL 2.1 Policy 1 Sept. 2023
Ongoing Fee Arrangement (OFA) Template Option A - AFSL 2.0 Tool 3 Aug. 2022
Ongoing Fee Arrangement (OFA) Template Option B - AFSL 1.0 Tool 3 Aug. 2022
Statement of Advice Template Option A - AFSL 1.0 Tool 3 Aug. 2022
Statement of Advice Template Option B - AFSL 1.0 Tool 3 Aug. 2022
Unilateral Variation Letter Template - AFSL 1.0 Tool 3 Aug. 2022
Mutual Agreement Variation Letter Template - AFSL 1.0 Tool 3 Aug. 2022
Breach Termination Template - AFSL 2.0 Tool 25 June 2021
Death Termination Template - AFSL 2.0 Tool 25 June 2021
Deemed Termination of Ongoing Fee Arrangements (OFA) Template - AFSL 1.1 Tool 26 Sept. 2023
New OFA Termination Template - AFSL 1.0 Tool 3 Aug. 2022
Party Termination Template - AFSL 2.0 Tool 25 June 2021
Reset Letter Template - AFSL 1.0 Tool 29 July 2022
Standalone Fee Disclosure Statement (FDS) Template - AFSL 3.0 Tool 12 April 2023
Standalone Consent to Deduct Ongoing Fees Template - AFSL 2.0 Tool 12 April 2023
User Guide to Ongoing Fee Arrangement Documents - AFSL 2.0 Guide 12 April 2023
Ongoing Fee Arrangement (OFA) – FAQs - AFSL 6.1 FAQs 1 Sept. 2023
Information Management Information Management - ACL
Version 1.0 - 27 July 2023
Document Version Type Date
Information Management Policy - ACL 1.0 Policy 27 July 2023
Document Destruction Schedule - ACL 1.0 Tool 27 July 2023
Agreements Authorised Representative Agreement - AFSL, Wholesale
Version 5.0 - 7 July 2023
Document Version Type Date
Authorised Representative Agreement - AFSL 5.0 Agreement 7 July 2023
Sub-Authorised Representative Agreement - AFSL 2.0 Agreement 7 July 2023
Disclosure Documents Disclosure Documents - AFSL, Wholesale
Version 9.0 - 9 June 2023
Document Version Type Date
FSG Checklist Template - AFSL 3.0 Tool 30 March 2023
Fact Find Template - AFSL 2.0 Tool 29 Jan. 2020
Financial Services Guide (FSG): Adviser Profile - AFSL 3.0 Tool 17 Sept. 2021
Financial Services Guide (FSG): Authorised Representative (AR) and Corporate Authorised Representative (CAR) Version - AFSL 5.0 Tool 17 Sept. 2021
Financial Services Guide (FSG): Licensee Version - AFSL 5.0 Tool 17 Sept. 2021
Financial Services Guide (FSG): Provisional Adviser Profile - AFSL 1.0 Tool 17 Sept. 2021
Financial Services Guide (FSG): Managed Discretionary Account - AFSL 1.0 Tool 9 June 2023
First Interview Letter Template - AFSL 2.0 Tool 8 Oct. 2020
ROA Template - AFSL 3.0 Tool 7 Dec. 2022
Sample Disclaimers and Warnings - AFSL 2.0 Tool 2 April 2020
Statement of Advice - AFSL 1.0 Tool 24 March 2022
Statement of Advice (IBR) - AFSL 1.0 Tool 7 Dec. 2022
Best Interests Duty (BID) Best Interests Duty (BID) - AFSL, Wholesale
Version 1.0 - 16 May 2023
Document Version Type Date
Best Interests Obligations Policy - AFSL 2.0 Policy 14 Feb. 2020
Best Interests Obligations Mindmap 1.0 Mindmap 1 Nov. 2018
Disclosure Documents Disclosure Documents - ACL
Version 1.0 - 16 May 2023
Document Version Type Date
Credit Guide - Licensee - ACL 1.0 Tool 21 April 2022
Credit Proposal Disclosure Document - ACL 1.0 Tool 21 April 2022
Information Management Information Management - AFSL, Wholesale
Version 1.1 - 16 May 2023
Document Version Type Date
Information Management Policy - AFSL, Wholesale 1.1 Policy 9 May 2023
Document Destruction Schedule - AFSL, Wholesale 1.1 Tool 9 May 2023
Financial Product Advice - Key Requirements Key Obligations - AFSL, Wholesale
Version 6.1 - 16 May 2023
Document Version Type Date
Advice and Disclosure Documentation Policy - AFSL 2.0 Policy 20 July 2022
Client File Management Policy - AFSL 2.0 Policy 23 Sept. 2020
Client Files Adviser Policy - AFSL 1.0 Policy 15 July 2020
Data Collection Policy - AFSL 1.0 Policy 7 June 2019
Giving Financial Product Advice Policy - AFSL 1.0 Policy 7 June 2019
No Advice -v- General Advice -v- Personal Advice Guide - AFSL 1.0 Guide 3 June 2019
Advice Implementation Flowchart - AFSL 1.0 Tool 26 June 2019
Vulnerable Clients (including Aged Care) Vulnerable Clients - AFSL, Wholesale
Version 1.0 - 16 May 2023
Document Version Type Date
Vulnerable Clients Policy - AFSL 2.0 Policy 7 Oct. 2022
Vulnerable Clients (including Aged Care) Aged Care - AFSL, Wholesale
Version 2.0 - 11 April 2023
Document Version Type Date
Providing Aged Care Advice Policy - AFSL 3.0 Policy 11 April 2023
Electronic Signatures Electronic Signatures - ACL, AFSL, Wholesale
Version 4.0 - 17 Jan. 2023
Document Version Type Date
Electronic Signatures Policy - ACL, AFSL, Wholesale 4.0 Policy 17 Jan. 2023
‘Wet ink’ Signature vs Electronic Digital Signatures in the Financial Services Industry Mindmap - ACL, AFSL, Wholesale 1.0 Mindmap 31 Aug. 2021
Other Misc. Tools - AFSL, Wholesale
Version 5.0 - 18 Nov. 2022
Document Version Type Date
Authority And Indemnity Form - AFSL 2.0 Tool 4 May 2022
Confirmation Of Implementation Letter - AFSL 1.0 Tool 3 June 2019
Downstream Credit Referral Letter Template - AFSL 1.0 Tool 29 May 2019
Electronic Disclosure Letter - AFSL 1.0 Tool 3 June 2019
File Note Template - AFSL 1.0 Tool 6 June 2019
Financial Advice Certificate Template - AFSL 1.0 Tool 3 June 2019
Interpreter Attestation Template - AFSL 1.0 Tool 14 June 2019
No Advice Letter (for Advisers) Template - AFSL 1.0 Tool 14 Feb. 2020
Non-Credit Referral Agreement Template - AFSL 1.0 Agreement 3 June 2019
Non-Credit Referral Letter Template - AFSL 1.0 Tool 3 June 2019
One-off Policy Exception Form - AFSL 1.0 Tool 23 May 2019
Online Calculators Checklist - AFSL 1.0 Tool 20 May 2019
Power of Attorney Letter Template - AFSL 2.0 Tool 1 Sept. 2022
Scoping Advice And Services (For Business Clients) Template - AFSL 2.0 Tool 14 Feb. 2020
Support Tools For Disclosing Stamping Fees - AFSL 1.0 Tool 6 June 2019
TFN Client Consent Form - AFSL 1.0 Tool 3 June 2019
Upstream Credit Referral Letter Template - AFSL 1.0 Tool 3 June 2019
Financial Product Advice - Super & SMSF Super and SMSF Advice - AFSL, Wholesale
Version 4.0 - 17 Nov. 2022
Document Version Type Date
SMSF Advice Policy - AFSL 2.0 Policy 14 Feb. 2020
Contributions Advice Policy - AFSL 2.0 Policy 14 Feb. 2020
Client Fact Sheet – Contributing To Super – Your Options - AFSL 4.0 Tool 17 Nov. 2022
Client Fact Sheet – Retirement Income – Your Options - AFSL 3.0 Tool 17 Nov. 2022
Client Fact Sheet – Death Benefits in Super – Your Options - AFSL 1.0 Tool 7 Dec. 2020
SMSF Advice Work Paper - AFSL 1.0 Tool 2 Sept. 2019
SMSF – Investment Strategy Template - AFSL 2.0 Tool 1 April 2020
Superannuation Replacement Checklist - AFSL 1.0 Tool 19 May 2019
Accountant Resources Unlicensed Accountants
Version 2.0 - 17 Nov. 2022
Document Version Type Date
Unlicensed Letter Pack – Execution only (SMSF Set Up) 4.0 Tool 1 Oct. 2018
Unlicensed Letter Pack – Execution Only (SMSF Wind Up) 4.0 Tool 1 Oct. 2018
Unlicensed Letter Pack – Execution Only (Pension Commencement) 5.0 Tool 17 Nov. 2022
Unlicensed Letter Pack – Execution Only (Annual Pension Amount) 4.0 Tool 4 Oct. 2018
Unlicensed Letter Pack – Execution Only (Lump Sum Withdrawal) 4.0 Tool 5 Oct. 2018
Unlicensed Letter Pack – Execution Only (Death Benefit Nomination) 4.0 Tool 6 Oct. 2018
Unlicensed Letter Pack – Execution Only (SMSF Investment Strategy) 5.0 Tool 7 Oct. 2018
Unlicensed Letter Pack – Tax Advice (End Of Year Tax Planning) 5.0 Tool 17 Nov. 2022
Unlicensed Letter Pack – Tax Advice (Re-Contributions Strategy) 4.0 Tool 9 Oct. 2018
Unlicensed Letter Pack – Tax Advice (Tax Advice on Specific Financial Products) 4.0 Tool 10 Oct. 2018
Unlicensed Letter Pack – Engagement Letter (SMSF Compliance & Accounting) 4.0 Tool 11 Oct. 2018
Unlicensed Letter Pack – Execution Only (SMSF Rollover) 1.0 Tool 17 Nov. 2022
Financial Product Advice - Wholesale Clients Wholesale Clients - Wholesale
Version 1.0 - 16 Nov. 2022
Document Version Type Date
Wholesale Client Policy 2.0 Policy 3 Feb. 2020
Wholesale Client Policy (W’sale AFSL only) 1.0 Policy 16 Nov. 2022
Controller Declaration Template 1.0 Tool 14 Sept. 2019
Professional Investor Declaration Template 1.0 Tool 18 Sept. 2019
Record of Value Price Template - AFSL 2.0 Tool 15 March 2020
Enforcement and Hardship Enforcement and Hardship - ACL
Version 2.0 - 27 Aug. 2022
Document Version Type Date
Enforcement Policy - ACL 2.0 Policy 27 Aug. 2022
Hardship Policy - ACL 2.0 Policy 27 Aug. 2022
Statement of Financial Position Template - ACL 2.0 Tool 27 Aug. 2022
Consent to Enter Premises Template (for Consumer Lease) - ACL 2.0 Tool 27 Aug. 2022
Consent to Enter Premises Template (for Credit Contract) - ACL 2.0 Tool 27 Aug. 2022
Default Notice Template (for Consumer Lease) - ACL 2.0 Tool 27 Aug. 2022
Default Notice Template (for Credit Contract) - ACL 2.0 Tool 27 Aug. 2022
Direct Debit Notice Template (for Consumer Lease) - ACL 1.0 Tool 25 Sept. 2020
Direct Debit Notice Template (for Credit Contract) - ACL 1.0 Tool 25 Sept. 2020
Notice after Taking Possession of Mortgaged Goods Template - ACL 2.0 Tool 27 Aug. 2022
Notice regarding Surrender of Mortgaged Goods Template - ACL 2.0 Tool 27 Aug. 2022
Enforcement Registers - ACL 2.0 Register 27 Aug. 2022
Advice Fees (including OFAs) Advice Fees (excluding OFAs) - AFSL, Wholesale
Version 4.0 - 23 June 2022
Document Version Type Date
Advice Fees (excluding OFAs) Policy - AFSL 4.0 Policy 23 June 2022
Client Engagement Letter - AFSL 3.0 Tool 23 June 2022
Fixed Term Agreement Template - AFSL 3.0 Tool 23 June 2022
Pricing Policy - AFSL 2.0 Tool 23 June 2022
Advice Fees (excluding OFAs) FAQs - AFSL 1.0 FAQs 23 June 2022
Best Interests Duty (BID) Best Interests Duty (Mortgage Brokers) - ACL
Version 2.0 - 12 May 2022
Document Version Type Date
Best Interests Obligations Policy - ACL 2.0 Policy 12 May 2022
Best Interests Obligations Mindmap 1.0 Mindmap 1 Nov. 2018
Other Misc. Tools - ACL
Version 2.0 - 27 April 2022
Document Version Type Date
Consumer -v- Non-Consumer Credit Policy - ACL 1.0 Policy 18 Feb. 2021
Consumer v Non Consumer Credit Checklist (Consumer Lease) - ACL 1.0 Tool 21 Dec. 2020
Consumer v Non-Consumer Credit Checklist (Credit Contract) - ACL 1.0 Tool 21 Dec. 2020
Business Purpose Declaration Template (Consumer Lease) - ACL 1.0 Tool 21 Dec. 2020
Business Purpose Declaration Template (Credit Contract) - ACL 1.0 Tool 21 Dec. 2020
Credit Referral Agreement - ACL 1.0 Agreement 5 Oct. 2020
Credit Referral Letter Template - ACL 1.0 Tool 5 Oct. 2020
Downstream Credit Referral Letter Template - ACL 1.0 Tool 5 Oct. 2020
File Note Template - ACL 1.0 Tool 5 Oct. 2020
Interpreter Attestation Template - ACL 1.0 Tool 5 Oct. 2020
One-off Policy Exception Application Form Template - ACL 1.0 Tool 5 Oct. 2020
Financial Product Advice - Overseas Clients Overseas Clients - AFSL, Wholesale
Version 3.0 - 22 April 2022
Document Version Type Date
Overseas Client Policy - AFSL 3.0 Policy 22 April 2022
Overseas Clients One-Off Approval Supplementary Application Form - AFSL 3.0 Tool 4 May 2022
Responsible Lending Responsible Lending - ACL
Version 1.0 - 21 April 2022
Document Version Type Date
Responsible Lending Policy - ACL 1.0 Policy 21 April 2022
Final-Preliminary Assessment - ACL 1.0 Tool 21 April 2022
Client Information Collection Form - ACL 1.0 Tool 21 April 2022
Credit Guide - Licensee - ACL 1.0 Tool 21 April 2022
Credit Proposal Disclosure Document - ACL 1.0 Tool 21 April 2022
Schedule 5 - Key Facts Sheets for Standard Home Loans - ACL 1.0 Tool 21 April 2022
Schedule 6 - Key Facts Sheets for Credit Card Contracts - ACL 1.0 Tool 21 April 2022
Agreements Credit Representative Agreement - ACL
Version 1.0 - 23 Dec. 2021
Document Version Type Date
Corporate Credit Representative Agreement - ACL 1.0 Agreement 23 Dec. 2021
Sub-Authorised Representative Agreement - ACL 1.0 Agreement 23 Dec. 2021
Financial Product Advice - Key Requirements Code of Ethics - AFSL, Wholesale
Version 2.0 - 21 Dec. 2021
Document Version Type Date
Financial Planners and Advisers Code of Ethics Policy - AFSL 2.0 Policy 21 Dec. 2021
Other Hedging - AFSL, Wholesale
Version 1.0 - 1 June 2021
Document Version Type Date
Hedging Policy - AFSL 1.0 Policy 30 April 2021
Hedging Policy Statement for Website Template - AFSL 1.0 Tool 30 April 2021
Referrals Referral Arrangements - ACL
Version 1.0 - 6 April 2021
Document Version Type Date
Referral Arrangements Policy - ACL 1.0 Policy 6 April 2021
Finding a Good Referral Partner Checklist Template - ACL 1.0 Tool 6 April 2021
Referrals Referral Arrangements - AFSL, Wholesale
Version 1.0 - 11 Nov. 2020
Document Version Type Date
Referral Arrangements Policy - AFSL 2.0 Policy 11 Nov. 2020
Finding a Good Referral Partner Checklist Template - AFSL 1.0 Tool 11 Nov. 2020
Other Whistleblower - AFSL
Version 1.0 - 25 May 2020
Document Version Type Date
Whistleblower Policy - AFSL 1.0 Policy 25 May 2020
Financial Product Advice - Investment Products Investment Product Advice - AFSL, Wholesale
Version 1.0 - 15 March 2020
Document Version Type Date
Investment Product Policy - AFSL 1.0 Policy 14 Feb. 2020
Investment Replacement Checklist - AFSL 2.0 Tool 15 March 2020
Record of Value Price Template - AFSL 2.0 Tool 15 March 2020
Financial Product Advice - Insurance Insurance Advice - AFSL, Wholesale
Version 1.0 - 11 Feb. 2020
Document Version Type Date
Personal Risk Insurance Advice Policy - AFSL 1.0 Policy 11 Feb. 2020
Insurance Replacement Checklist - AFSL 1.0 Tool 14 June 2019
Agreements Responsible Manager Agreement - ACL, AFSL, Wholesale
Version 1.0 - 13 Dec. 2019
Document Version Type Date
Responsible Manager Agreement - ACL, AFSL, Wholesale 1.0 Agreement 13 Dec. 2019
Financial Product Advice - Investment Products Gearing and Margin Lending - AFSL, Wholesale
Version 1.0 - 29 Nov. 2019
Document Version Type Date
Providing Gearing Advice Policy - AFSL 1.0 Policy 29 Nov. 2019
Margin Lending Advice File Note Template - AFSL 1.0 Tool 19 May 2019
Accountant Resources Accountants with a Limited Licence
Version 1.0 - 1 Nov. 2018
Document Version Type Date
Accountant Fact Find 4.0 Tool 1 Nov. 2018
Client Fact Find 1.0 Tool 1 Nov. 2018
Communications Kit For Limited Licences 1.0 Tool 17 Feb. 2020
The HN Family Case Study 1.0 Tool 1 July 2017
Guide – Accountants Providing Advice In A Business 1.0 Guide 1 Dec. 2016
Fast Track Pensions Advice – Support Tools 1.0 Tool 1 Aug. 2018
Fast Track Contributions Advice - Support Tools 1.0 Tool 1 May 2018
SOA Template – Fast Track Contributions Advice 2.0 Tool 1 May 2018
SOA Template – Fast Track For Pensions Advice 2.0 Tool 1 Aug. 2018
SOA Template – For Accountants With A Limited Licence 1.0 Tool 14 Feb. 2020
Adequate Resources Adequate Resources - AFSL
Version 2.2 - 15 April 2024
Document Version Type Date
Human Resources Policy - AFSL 2.1 Policy 15 April 2024
IT Resources Policy - AFSL 2.1 Policy 9 Nov. 2023
Financial Resources, Records and Compensation Policy - AFSL 1.0 Policy 1 Jan. 2018
Human Resources Organisational Chart Template - AFSL 2.0 Tool 6 Oct. 2023
PI Insurance Checklist - AFSL 1.0 Tool 1 Jan. 2018