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MSM Mission Control
Keeping your business compliance documentation and procedures up to date and in a readily accessible structure is a critical business issue once you have gained your AFS Licence.
Document Update Register – Last Update 2nd July 2024 – Updated ASIC FS71 Form to May 24 Version.
Mission Control Detailed Menu Document
Complaints
- AFCA Changes - Staff & Representative Briefing Note
- AFCA Insurance Broker Complaints Approach
- AFCA Operational Guidelines
- AFCA Rules
- AFCA Transition Checklist
- ASIC IDR Data Reporting Instrument 2022-205
- Complaint and IDR Data Report Template
- Complaint Response Sample
- Complaint Brochure
- Complaints Form
- Complaints Overview
- Complaints Policy and Procedures
- IDR Data Reporting Handbook
- Legislative Instrument AFCA Transition 2018-447
- P.I. Assessment Tool
- RG126 Compensation & Insurance
- RG165 Internal and External Dispute Resolution
- RG271 Internal Dispute Resolution
Compliance
- Anti Money Laundering Overview
- Breach Reporting Briefing Note
- Client File Review Sheet Template
- Compliance Breach Register - Excel
- Compliance Breach Register Template - Word
- Compliance Checklist
- Compliance Overview
- Compliance Policy and Procedures
- IBCC Guide to Reporting Breaches and Complaints Feb 2024
- Representative Compliance Declaration Template
- Responsible Manager Compliance Officer Training
- RG78 Breach Reporting By AFS Licensees
- RG277 Consumer Remediation
Conflict of Interest
Credit
- Credit Regulations
- National Consumer Credit Protection Act
- RG203 Do I Need a Credit Licence
- RG204 Applying for a Credit Licence
- RG205 Credit Licensing General Obligations
- RG206 Credit Licensing Competence & Training
- RG207 Credit Licensing Financial Requirements
- RG209 Credit Licensing Responsible Lending
- RG210 Compensation & Insurance Credit
Employment
- Applicant Consent Form
- Applicant Direction Form
- Applicant Reference Guide
- Application For Employment
- Appraisal & Development Form
- Banking Finance and Insurance Award 2020
- Banking Finance and Insurance Award 2020 Change Overview
- Banking Finance and Insurance Award Pay Guide 2023
- Casual Employment Information Statement
- Contractor Confidentiality Agreement Template
- Employee Warning
- Employment Interview Checklist
- Exit Interview Form
- Fair Work Act 2009
- Fair Work Information Statement
- Fixed Term Contract Information Statement
- Induction Checklist Form
- Induction Survey Form
- Leave Application Form
- Mobile Phone Policy & Agreement
- Motor Vehicle Policy & Agreement
- New Employee Details Form
- Police Check Application Form
- Position Description
- Small Business Fair Dismissal Code
- Staff Exit Checklist
- Staff Letter of Engagement Template
- Staff Policy and Procedures
- Superannuation Choice Form
- Task Allocation Table
- Working From Home Agreement
- Working From Home Application
- Working From Home Assessment
- Working From Home - Management Response
External Representatives
- AR Cross Endorsement Standing Agreement
- Authorised Representative Agreement Template
- Authorised Representative Application Form
- Corporate Authorised Representative Application Form
- Corporate Authorised Representative Agreement Template
- Corporate Distributor Agreement Template
- Corporate Distributor Application Form
- Distributor Agreement Template
- Distributor Application Form
- Distributor Letter of Appointment Template
- External Representative Policy and Procedures
- External Representatives Comparison Table
- FSG (AR) Template
- GPB Application Form
- GPB Letter of Appointment Template
- Legislative Instrument - Notification of Authorised Representatives 2022-301
- Legislative Instrument - Basic Deposits and General Insurance Distribution 2015-682
- Legislative Instrument - Group Purchasing Bodies 2018-751
- Recipient Created Tax Invoice (RCTI) Agreement Template
- RG195 Group Purchasing Bodies
- SOA All Classes AR Template
- Spotter Referrer Agreement Template
- Spotter - Referrer Letter of Appointment Template
Financial
- ASIC FS70
- ASIC FS71
- Audit Letter of Engagement Template
- Audit and Review Requirements for AFS Licensees GS003
- Cheque Requisition Form
- Credit Card Payment Surcharges Overview
- Expense Reimbursement Form
- Financial Hardship Overview
- Financial Hardship Application Form
- Financial Hardship Policy Statement
- Financial Overview
- Financial Policy and Procedures
- Financial Supplier Position Description
- Loan Commitment for RG166
- Payment Card Industry Data Security Standard (PCI DSS)
- RG166 Financial Requirements
- RG166 Compliance Worksheet
- RG26 - Resignation Removal & Replacement of Auditor
Information Technology
Workplace Health and Safety
Operational
- AntiHawking Briefing Note
- Approved Product Listing Template
- APRA Data Collection Explanatory Note
- APRA Form 701
- APRA Instruction Guide Form 701
- ASIC Act 2001
- ASIC Regulations 2001
- ASIC Amendment Deferred Sales Model Regulations 2021
- Banned Product Listing Template
- Broking Fees Table Template
- Broking Letter of Appointment
- Broking Letter of Engagement
- Broking Letter of Resignation
- Broking Letter of Review and Quote
- Broking Policy and Procedures
- Broking Service Standards Sample
- Class Order - Record Keeping for Personal Advice 2014/923
- Competition and Consumer Act 2010
- Corporations Act 2001
- Corporations Regulations 2001 (Combined)
- Deferred Sales Model For Add On Insurance Briefing Note
- Design and Distribution Briefing Note
- Do Not Call Briefing Note
- Document Register Template
- Fact Finder Business
- Fact Finder Domestic
- Fact Finder Disablement
- Fact Finder Motor
- Fact Finder Trade
- Family and Domestic Violence Policy and Procedures
- Family and Domestic Violence Policy Statement
- FSG (Licensee) Template
- General Advice Warning Sample
- General Insurance Code of Practice 2020
- General Insurance Code of Practice 2020 Overview
- IBCOP Terms of Engagement Template
- Important Notices Template
- Insurance Act 1973
- Insurance Brokers Code of Practice 2014
- Insurance Brokers Code of Practice 2022
- Insurance Brokers Code of Practice Overview 2014
- Insurance Brokers Code of Practice 2014 Training Assessment Sheet
- Insurance Contracts Act 1984
- Insurance Contracts Act Regulations
- Insurance Regulations 2002
- Insured Risk Checklist
- Insurer Incentive Scheme Disclosure Sample
- Legislative Instrument - Disclosure of Lack of Independence 2021-125
- Legislative Instrument - Facilitation Electronic Delivery of Financial Services Disclosure 2015-647
- Legislative Instrument- FSG Given In A Time Critical Situation 2022-498
- Legislative Instrument - General Advice Warning 2015-540
- Legislative Instrument - Life Insurance Commissions 2017-510
- Legislative Instrument Removing Barriers To Electronic Delivery 2015-649
- Life Insurance Code of Practice
- Lloyd's' GST Guidance Ref Y5099
- Marine Insurance Act 1909
- NSW Emergency Services Levy Act 2017
- Oral Disclosure Script Template
- Premium Funders Code of Practice
- Product Development and Distribution Statement
- Product Research Overview
- Product Research Policy and Procedures
- Renewal Checklist Template
- RG168 Disclosure
- RG175 Adviser Conduct & Disclosure
- RG182 Dollar Disclosure
- RG221 Facilitating Online Financial Disclosure
- RG234 Advertising Financial Products & Advice
- RG244 Information & Advice
- RG274 - Product Design and Distribution Obligations
- RG275 - Deferred Sales Model for Add On Insurance
- RG36 Advice and Arranging Guide
- RG38 The Hawking Prohibitions
- RG90 - Example Statement of Advice
- SOA (All classes)(Licensee) Template
- SOA (Life-Financial Planning) Sample
- Target Market Determination Template
- UFI Notice
- UFI Placement Checklist
- Wholesale Broker Agreement Template
Organisational
- Broking Software Supplier Position Description Sample
- Employment Supplier Position Description
- Human Resources Statement
- Monitoring and Supervision of Representatives Plan
- Organisation Chart Template
- Outsource Agreement Template
- Outsourcing Overview
- Outsourcing Policy and Procedures
- Relieving Responsible Manager Agreement
- RG104 Licensing Meeting The General Requirements
- RG105 Licensing Organisational Competence
- Staff Meeting Content
Planning
Privacy
- Australian Privacy Principles
- Notifiable Data Breaches Overview
- Privacy Overseas Supplier Table - Word
- Privacy - Overseas Supplier Table - Excel
- Privacy Act
- Privacy Overview
- Privacy Policy and Procedures
- Privacy Policy Statement
- Privacy Training Assessment Sheet
- Guide to Handling Personal Information Breaches
Risk Management
Training
Please contact Mr. Ivan Handasyde on 0419 524 280 if you require any assistance with this service.
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