AFSL compliance manual, policies and procedures and compliance support

Compliance Template Policies, Procedures, Tools, Manuals and Agreements

Are you daunted by the number of documents and procedures you need to run a financial services or credit services business?  Don’t be.  Hundreds of businesses – Australian Financial Services Licensees and Australian Credit Licensees – use our compliance templates, tools, training, and regulatory updates.  Here’s a list of manuals and document bundles available via our portal, the HN Hub.

Stay on top of your regulatory obligations

We devote approximately $1 million each year in lawyer and compliance consultant time to develop and maintain our documents, regulatory updates, and training via the HN Hub.  We do the hard work and research, so that you can focus on providing top-notch services.

Example Compliance Manuals, Templates and Tools include:

  1. Compliance Manuals for AFSL holders with retail clients
  2. Wholesale-only Compliance Manual for AFSL holders
  3. Providing Advice Compliance Manual for Financial Advisers
  4. An AML/CTF Program for multiple different industries
  5. Authorised Representative Agreement
  6. Responsible Manager Agreement
  7. Data Retention & Information Management Bundle (including a document destruction schedule)

We have over 200 documents and tools to use.  Check them out!

Our Document Library

Our documents are sorted by topic, so you can access the full suite of templates and documents in relation to a particular topic.  The current suite consists of policies and templates relating to:

  • Running an AFSL
  • Running an ACL
  • Responsible Manager Agreement
  • Compliance Arrangements (Compliance Diary & Checklists)
  • Providing Advice
  • … and more.
View Document Library
HN Documents

The HN Hub - Online access to documents, policies & templates

You can access our documents, polices & templates through our online compliance portal, the HN Hub.

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HN Documents