Transcription
HN DocumentsCurrent Suite of DocumentsCurrent as at 24 March 2021TYPEDOCUMENT NAMEPRICEComplianceCompliance ChecklistsToolCompliance Checklist - Q1ToolCompliance Checklist - Q2ToolCompliance Checklist - Q3ToolCompliance Checklist - 6-May-2026-May-2011127-Apr-2007-May-2027-Apr-20N/A 2502020202020202020Running an AFSL 2,500Compliance ArrangementsToolCompliance diaryToolCommittee charterAdequate ResourcesPolicyHuman Resources PolicyPolicyFinancial resources, records and Compensation PolicyPolicyIT Resources PolicyToolHuman Resources Organisational Chart TemplateToolPI Insurance ChecklistAppointmentsPolicyAppointing a Responsible Manager or Key Person PolicyPolicyAppointing Representatives PolicyRegisterRepresentative RegisterToolAppointing a Representative ChecklistToolAppointing a Responsible Manager ChecklistToolAppointment by Authoriser FormToolAuthorisation - Authoriser FormToolAurthorised Representative FormToolEmployee of a Licensee FormComplaintsPolicyDispute Resolution PolicyRegisterComplaints RegisterConflicts of InterestPolicyConflicts of Interest PolicyRegisterSoft Dollar RegisterRegisterConflicts of Interest RegisterHandling Client MoneyPolicyHandling Client Money PolicyToolAFSL - Annual Declaration TemplateToolAFSL - Monthly Declaration TemplateToolAnnual Audtior's Report TemplateToolReconcilliation Discrepency Reporting TemplateMonitoring & SupervisionPolicyMonitoring & Supervision PolicyPolicyClient Review & Remediation PolicyRegisterMonitoring & supervision RegisterToolClient Remediation - Initial Letter TemplateToolClient Remediation - Final Letter TemplateToolClient Remediation - Settlement Deed TemplateToolClient Review and Remediation Plan TemplateToolMonitoring & supervision ChecklistToolRepresentative Review TemplateToolGeneral Advice File Review TemplateToolPersonal Advice File Review TemplateToolSOA Review ChecklistToolROA Review ChecklistToolLicensee FSG ChecklistOutsourcingPolicyOutsourcing PolicyToolEngagement Checklist for Outsourced ProvidersToolLetter to Existing Service Provider TemplateToolList of Existing Service Providers TemplateToolService Provider Reivew ChecklistPromotional MaterialPolicyPromotional Material PolicyToolPromotional Material ChecklistReporting ObligationsPolicyBreaches Reporting PolicyRegisterBreaches and Incidents RegisterGuideBreach Register GuideGuideLodgement Requirements for AFS Licensees GuideRisk ManagementPolicyRisk Management PolicyBusiness Continuity PlanPolicyRegisterRisk Register 250 950950295450450450295295295450
TYPEToolToolDOCUMENT NAMEPRICERisk Register for limited licenseesBusiness Continuity Plan TemplateTraining ng Policy227-Apr-20PolicyNew - Provisional Adviser Policy127-Aug-20RegisterProvisional Relevant Provider Training Plan and Register127-Aug-20RegisterCPD Plan and Register - Excel514-Sep-19RegisterCPD Plan and Register - Word114-Sep-19ToolCPD Policy 905-Jun-1914-Dec-2014-Dec-20Providing Advice - Key Obligations & the Advice Process Advice feesPolicyClient Advice Fees PolicyToolClient Engagement Letter TemplateToolPricing Policy TemplateToolClient Advice Fee Calculation SpreadsheetAged CarePolicyAged Care PolicyDisclosure DocumentsToolLicensee FSG ChecklistToolFact Find TemplateToolFSG Adviser ProfileToolFSG - LicenseeToolFSG - ARToolFirst Interview Letter TemplateToolROA TemplateSample disclaimers & warningsToolFASEA Code of EthicsPolicyFASEA Code of Ethics PolicyGearing & Margin lendingPolicyProviding Gearing Advice PolicyToolMargin Lending Advice File Note TemplateKey Obligations, including BIDPolicyAdvice & Disclosure Document PolicyPolicyBest Interests Oblligations PolicyPolicyClient Files Adviser PolicyPolicyClient File Management PolicyPolicyData Collection PolicyPolicyGiving Financial Product Advice PolicyPolicyVulnerable Client PolicyPolicyWholesale Client PolicyGuideNo advice --v general advice -v- personal advice GuideGuideAdvice Implementation FlowchartMDAsPolicyMDA Advice PolicyRegisterMDA Service Client RegisterToolMDA Transaction File Note TemplateInsurance AdvicePolicyPersonal Risk Insurance Advice PolicyToolInsurance Replacement ChecklistInvestment Product AdvicePolicyInvestment Product PolicyToolInvestment Replacement ChecklistToolRecord of Value Price TemplateOngoing advice, including FDSPolicyOngoing Fee Arrangements PolicyToolDeath termination TemplateToolBreach Termination TemplateToolFDS TemplateToolOngoing Fee Arrangement TemplateToolParty Temination TemplateToolRenewal Notice Termination TemplateToolRenewal Notice TemplateOverseas clientsPolicyOverseas Client PolicyToolOverseas Client Policy Exception FormToolPermanent Resident Letter TemplateGuideOverseas Client Policy MatrixGuideOverseas jurisdiction - ChinaGuideOverseas jurisdiction - Hong KongGuideOverseas jurisdiction - JapanGuideOverseas jurisdiction - New ZealandGuideOverseas jurisdiction - SingaporeGuideOverseas jurisdiction - South AfricaGuideOverseas jurisdiction - TaiwanGuideOverseas jurisdiction - UAEGuideOverseas jurisdiction - UKGuideOverseas jurisdiction - USA Page 2 of 52,500295 295 950 450 450 950450450450450450
TYPEGuideDOCUMENT NAMEPRICESummary of other Jurisdictions TablePOA & ExecutorsPolicyToolSuper & SMSF AdvicePolicyPolicyToolToolToolToolToolToolMisc oolToolToolToolToolToolToolLegal Agreement Running an ACL 2,500Compliance Arrangements 250Register Page 3 of 5 v11-Nov1120-Jan3-Dec950950295450Soft Dollar RegisterRegisterConflicts of Interest RegisterMonitoring & SupervisionPolicyMonitoring & Supervision PolicyPolicyClient Review & Remediation PolicyRegisterMonitoring & Supervision RegisterToolClient Remediation - Initial Letter TemplateToolClient Remediation - Final Letter TemplateToolClient Remediation - Settlement Deed TemplateToolClient Review and Remediation Plan TemplateToolCredit Assessment File Review TemplateToolRepresentative Review TemplateToolMonitoring & supervision ChecklistOutsourcingPolicyOutsourcing PolicyToolEngagement Checklist for Outsourced ProvidersToolLetter to Existing Service Provider TemplateToolList of Existing Service Providers TemplateToolService Provider Reivew ChecklistPromotional Material11450Authority and Indemnity formConfirmation of Implementation LetterController Declaration TemplateDownstream Credit Referral Letter TemplateElectronic Disclosure LetterFinancial Advice Certificate TemplateFile Note TemplateInterpreter Attestation TemplateNo Advice Letter (for advisers) TemplateNon-Credit Referral Letter TemplateOnline Calculators ChecklistProfessional Investor Declaration TemplateOne-off Policy Exception FormScoping Advice and Services (for business clients) TemplateSupport Tools For Disclosing Stamping FeesSuspicious Matter Reporting FormTFN Client Consent FormUpstream Credit Referral Letter TemplateNon-Credit Referral Agreement TemplateToolCompliance diaryToolCommittee charterAdequate ResourcesPolicyHuman Resources PolicyPolicyFinancial resources, records and Compensation PolicyPolicyIT Resources PolicyToolHuman Resources Organisational Chart TemplateToolPI Insurance ChecklistAppointmentsPolicyAppointing a Responsible Manager or Key Person PolicyPolicyAppointing Representatives PolicyRegisterRepresentative RegisterToolAppointing a Representative ChecklistToolAppointing a Responsible Manager ChecklistToolAppointment by Authoriser FormToolAuthorisation - Authoriser FormToolCredit Representative FormToolEmployee of a Licensee FormDispute Resolution (Complaints)PolicyDispute Resolution PolicyRegisterComplaints RegisterConflicts of InterestPolicyConflicts of Interest Policy05-Jun-19450SMSF Advice PolicyContributions Advice PolicyClient Fact Sheet - Contributing to Super - Your optionsClient Fact Sheet - Retirement Income - Your OptionsClient Fact Sheet - Death Benefits in Super - Your OptionsSMSF Advice Work PaperSMSF - Investment Strategy TemplateSuperannuation Replacement Checklist APPROVED1295Deceased Estates PolicyPower of Attorney (POA) - Letter to solicitor v9-Nov9-Nov9-Nov9-Nov450295295
TYPEPolicyToolRisk ManagementPolicyPolicyRegisterToolDOCUMENT NAMEPRICEVERSIONPromotional Material PolicyPromotional Material Checklist 3-Dec18-Dec111128-Jan28-Jan28-Jan28-Jan450Risk Management PolicyBusiness Continuity PlanRisk RegisterBusiness Continuity Plan TemplateTrainingAPPROVED11450PolicyTraining Policy129-JanToolCPD epCPD RegisterRegisterHardship and Enforcement PolicyEnforcementPolicyHardshipToolStatement of Financial PositionToolConsent to Enter Premises Template (for consumer leases)ToolConsent to Enter Premises Template (for credit contracts)ToolDefault Notice Template (for consumer leases)ToolDefault Notice Template (for credit contracts)ToolDirect Debit Notice Template (for consumer leases)ToolDirect Debit Notice Template (for credit contracts)ToolNotice after Taking Possession of Mortgaged Goods TemplateToolNotice regarding Surrender of Mortgaged Goods TemplateRegisterEnforcement RegistersPrivacyPolicyPolicyRegisterToolToolTool 950950Privacy & Information Management PolicyData Breaches Response PolicyData Breaches RegisterPrivacy Policy & Collecton Statement TemplateRole and Responsibilities of the DBRT TemplatePrivacy Refusal Letter - Access requestsAccountant resources211211 n-191,500Accountants with a Limited Licence 950ToolAccoutant Fact Find4ToolClient Fact Find1ToolCommunications Kit for Limited Licensees1ToolThe HN Family Case Study1ToolGuide - Accountants providing advice in a business1ToolFast track pensions advice - Support Tools1ToolFast track contributions advice - Support Tools1ToolSOA Template - Fast Track Contributions Advice2ToolSOA Template - Fast Track for Pensions Advice2ToolSOA Template - For Accountants with a Limited Licence1Unlicensed Accountants 950ToolUnlicensed letter pack - Execution only (SMSF Set up)4ToolUnlicensed letter pack - Execution only (SMSF wind up)4ToolUnlicensed letter pack - Execution only (Pension commencement)4ToolUnlicensed letter pack - Execution only (Annual pension amount)4ToolUnlicensed letter pack - Execution only (Lump sum withdrawal)4ToolUnlicensed letter pack - Execution only (Death benefit nomination)4ToolUnlicensed letter pack - Execution only (SMSF Investment strategy)5ToolUnlicensed letter pack - tax advice (End of year tax planning)4ToolUnlicensed letter pack - tax advice (Re-contributions strategy)4ToolUnlicensed letter pack - tax advice (Tax advice in relation to specific financial products)4ToolUnlicensed letter pack - Engagement letter for SMSF accounting & compliance4ToolUnlicensed letter pack - Facts & information (insurance)4 Oct-18ProgramAnti-Money Laundering and Counter-Terrorism Financing Part A & Part B Program for1##29-Jan-21ToolAnnexure C (various versions (one per industry))118-Nov-20ToolAnnexure D118-Nov-20ToolCompliance Officer Report101-Mar-21ToolRisk Register User Instructions125-Feb-21RegisterRisk Register (various versions (one per rised Representative AgreementLegal AgreementCorporate Authorised Representative AgreementLegal AgreementSub-Authorised Representative AgreementResponsible Manager AgreementLegal AgreementResponsible Manager AgreementCyber ResilienceCyber Resilience PolicyPolicyElectronic SignaturesElectronic Sigantures PolicyPolicyReferral ArrangementsReferral ArrangementsPolicyFinding a Good Referral Partner Checklist TemplateToolPage 4 of 5 450 450 450 450 295
TYPEWhistleblowerPolicyDOCUMENT NAMEPRICE Whistleblower Policy (only applicable to large pty ltd and ltd companies)Page 5 of 5VERSIONAPPROVED125-May-20950
24.03.2021 · Tool Compliance Checklist - Q1 2020 1 29-Jan-20 Tool Compliance Checklist - Q2 2020 1 23-Apr-20 Tool Compliance Checklist - Q3 2020 1 24-Jul-20 Tool Compliance Checklist - Q4 2020 1 23-Oct-20 Running an AFSL 2,500 Compliance Arrangements 250 Tool Compliance diary 1 01-Jan-18 Tool Committee charter 1 01-Jan-18 Adequate Resources 950 Policy Human Resources Policy
