MISSION CONTROL MENU - MSMLM



Mission Control Menu Listing

|Changes in Documentation |MSM Documentation Update Register |

|Link to MSM Mission Control Website |MSM Mission Control Link |

|For Installation Problems or Advice |MSM Contact Details |

By Area of Business

|Complaints |Compliance |

|Conflict Of Interest |Credit |

|External Representatives |Financial |

|Employment |Workplace Health & Safety |

|Operational |Organisation |

|Planning |Privacy |

|Information Technology |Risk Management |

|Training | |

By Type of Document

|Example |Resource |

|Policy |Template |

By Category/Author of Document

|ASIC |Australian Standards |

|Codes / Standards |Law |

|MSM |Other |

Copyright Notice Terms of Trade

Mission Control Main Menu

Conflict Of Interest

|Template |Conflict of Interest Identification Table Template - Excel |

|Template |Conflict of Interest Identification Table Template - Word |

|Resource |Conflict of Interest Overview |

|Policy |Conflict of Interest Policy and Procedures |

|Resource |RG181 - Conflicts Of Interest |

|Resource |RG246 - Conflicted Remuneration |

Mission Control Main Menu

Credit

|Resource |Credit Regulations |

|Resource |National Consumer Credit Protection Act |

|Resource |RG203 - Do I Need a Credit Licence |

|Resource |RG204 Applying for a Credit Licence |

|Resource |RG205 - Credit Licensing - General Obligations |

|Resource |RG206 - Credit Licensing - Competence & Training |

|Resource |RG207 - Credit Licensing - Financial Requirements |

|Resource |RG209 Credit Licensing - Responsible Lending |

|Resource |RG210 - Compensation & Insurance - Credit |

Mission Control Main Menu

Complaints

|Resource |AFCA Changes – Staff & Representatives Briefing Note |

|Resource |AFCA Insurance Broker Complaints Approach |

|Resource |AFCA –Operational Guidelines To The Rules |

|Resource |AFCA Rules |

|Resource |AFCA Transition Checklist |

|Resource |ASIC IDR Data Reporting Instrument 2022-205 |

|Template |Complaint and IDR Register Template |

|Example |Complaint Response Sample |

|Resource |Complaint Brochure |

|Template |Complaints Form |

|Resource |Complaints Overview |

|Policy |Complaints Policy and Procedures |

|Resource |IDR Data Reporting Handbook |

|Resource |Legislative Instrument - AFCA Transition 2018-447 |

|Template |P.I. Assessment Tool |

|Resource |RG126 - Compensation & Insurance. |

|Resource |RG165 - Internal and External Dispute Resolution |

|Resource |RG271 - Internal Dispute Resolution |

Mission Control Main Menu

Compliance

|Resource |Anti Money Laundering Overview |

|Template |ASIC FS80 (Breach Reporting) |

|Resource |Breach Reporting Briefing Note |

|Template |Client File Review Sheet Template |

|Template |Compliance Breach Register Template - Word |

|Template |Compliance Breach Register Template - Excel |

|Template |Compliance Checklist |

|Resource |Compliance Overview |

|Policy |Compliance Policy and Procedures |

|Resource |Representative Compliance Declaration Template |

|Resource |Responsible Manager - Compliance Officer Training |

|Resource |RG277 – Consumer Remediation |

|Resource |RG78 - Breach Reporting By AFS Licensees |

Mission Control Main Menu

Employment

|Template |Applicant Consent Form |

|Template |Applicant Direction Form |

|Template |Applicant Reference Guide |

|Template |Application For Employment |

|Template |Appraisal & Development Form |

|Resource |Banking Finance and Insurance Award 2020 |

|Resource |Banking Finance and Insurance Award 2020 Change Overview |

|Resource |Banking Finance and Insurance Award 2022 Pay Guide |

|Resource |Casual Employment Information Statement |

|Template |Contractor Confidentiality Agreement Template |

|Template |Employee Warning |

|Template |Employment Interview Checklist |

|Template |Exit Interview Form |

|Resource |Fair Work Act 2009 |

|Resource |Fair Work Information Statement |

|Template |Induction Checklist Form |

|Template |Induction Survey Form |

|Template |Leave Application Form |

|Resource |Mobile Phone Policy & Agreement |

|Resource |Motor Vehicle Policy & Agreement |

|Template |New Employee Details Form |

|Template |Police Check Application Form |

|Template |Position Description |

|Template |Small Business Fair Dismissal Code |

|Template |Staff Exit Checklist |

|Example |Staff Letter of Engagement Template |

|Policy |Staff Policy and Procedures |

|Resource |Superannuation Choice Form |

|Template |Task Allocation Table |

|Template |Working From Home – Management Response |

|Template |Working From Home Agreement |

|Template |Working From Home Application |

|Template |Working From Home Assessment |

Mission Control Main Menu

External Representatives

|Template |AR Cross Endorsement Standing Agreement |

|Template |Authorised Representative Agreement Template |

|Template |Authorised Representative Application Form |

|Template |CAR Agreement Template |

|Template |Corporate Authorised Representative Application Form |

|Template |Corporate Distributor Agreement Template |

|Template |Corporate Distributor Application Form |

|Template |Distributor Agreement Template |

|Template |Distributor Application Form |

|Template |Distributor Letter of Appointment Template |

|Policy |External Representative Policy and Procedures |

|Resource |External Representatives Comparison Table |

|Template |FSG (AR) Template |

|Template |GPB Application Form |

|Template |GPB Letter of Appointment Template |

|Resource |Legislative Instrument - Basic Deposit and General Insurance Distribution 2015 682 |

|Resource |Legislative Instrument - Group Purchasing Bodies 2018 751 |

|Resource |Legislative Instrument - Notification of Authorised Representatives 2022-301 |

|Template |Recipient Created Tax Invoice (RCTI) Agreement Template |

|Resource |RG195 - Group Purchasing Bodies |

|Template |Spotter - Referrer Agreement Template |

|Template |Spotter-Referrer Letter of Appointment Template |

Mission Control Main Menu

Financial

|Template |ASIC FS70 |

|Template |ASIC FS71 |

|Template |Audit Letter of Engagement Template |

|Resource |Audit and Review Requirements for AFS Licensees - GS003 |

|Template |Cheque Requisition Form |

|Resource |Credit Card Payment Surcharges Overview |

|Template |Expense Reimbursement Form |

|Resource |Financial Hardship Overview |

|Template |Financial Hardship Application Form |

|Policy |Financial Hardship Policy Statement |

|Resource |Financial Overview |

|Policy |Financial Policy and Procedures |

|Template |Financial Supplier Position Description |

|Resource |Lloyd’s GST Guidance Ref Y5099 |

|Template |Loan Commitment for RG166 |

|Resource |Payment Card Industry Data Security Standard (PCI DSS) |

|Resource |RG26 - Resignation Removal and Replacement of Auditors |

|Resource |RG166 - Financial Requirements |

|Template |RG166 Compliance Worksheet |

Mission Control Main Menu

Information Technology

|Policy |Information Technology Policy and Procedures |

|Resource |NSW Workplace Surveillance Act Guidelines |

|Template |Spam Wording Template |

Mission Control Main Menu

W H & S

|Template |WH&S Checklist |

|Policy |WH&S Policy and Procedures |

Mission Control Main Menu

Operational

|Resource |AntiHawking Briefing Note |

|Template |Approved Product Listing Template |

|Resource |APRA Data Collection Explanatory Note |

|Resource |APRA Form 701 |

|Resource |APRA Instruction Guide - Form 701 |

|Resource |ASIC Act 2001 |

|Resource |ASIC Amendment Deferred Sales Model Regulations 2021 |

|Resource |ASIC Regulations 2001 |

|Template |Banned Product Listing Template |

|Resource |Deferred Sales Model For Add On Insurance Briefing Note |

|Resource |Design & Distribution Briefing Note |

|Template |Broking Fees Table Template |

|Example |Broking Letter of Appointment |

|Example |Broking Letter of Engagement |

|Example |Broking Letter of Resignation |

|Template |Broking Letter of Review and Quote |

|Policy |Broking Policy and Procedures |

|Template |Broking Service Standards Sample |

|Resource |Class Order - Record Keeping for Personal Advice 2014-923 |

|Template |Client File Review Sheet Template |

|Resource |Competition and Consumer Act 2010 |

|Resource |Corporations Act 2001 |

|Resource |Corporations Regulations 2001 (Combined) |

|Resource |Do Not Call Briefing Note |

|Template |Document Register Template |

|Template |Fact Finder - Business |

|Template |Fact Finder - Domestic |

|Template |Fact Finder Needs Analysis - Disablement |

|Template |Fact Finder Needs Analysis - Motor |

|Template |Fact Finder Needs Analysis - Trade |

|Policy |Family and Domestic Violence Policy and Procedures |

|Template |Family and Domestic Violence Policy Statement |

|Resource |FSG (Licensee) Template |

|Resource |General Advice Warning Sample |

|Resource |General Insurance Code of Practice 2020 |

|Resource |General Insurance Code of Practice 2020 Overview |

|Template |IBCOP Terms of Engagement Template |

|Resource |Important Notices Template |

|Resource |Insurance Act 1973 |

|Resource |Insurance Brokers Code of Practice 2022 |

|Resource |Insurance Brokers Code of Practice Overview |

|Resource |Insurance Contracts Act 1984 |

|Resource |Insurance Contracts Act Regulations |

|Resource |Insurance Regulations 2002 |

|Template |Insured Risk Checklist |

|Template |Insurer Incentive Scheme Disclosure Sample |

|Resource |Legislative Instrument – Consumer Statement for Add On Insurance 2021-632 |

|Resource |Legislative Instrument - Disclosure of Lack of Independence 2021-125 |

|Resource |Legislative Instrument - Facilitating Electronic Delivery of Financial Services Disclosure 2015-647.pdf |

|Resource |Legislative Instrument – FSG Given In A Time Critical Situation 2022-498 |

|Resource |Legislative Instrument - General Advice Warning 2015 540 |

|Resource |Legislative Instrument – Incidental Retail Cover 2022-716 |

|Resource |Legislative Instrument Life Insurance Commissions 2017 510 |

|Resource |Legislative Instrument - PDS Requirements For General Insurance Quotes 2022-66 |

|Resource |Legislative Instrument Removing Barriers To Electronic Delivery 2015 649 |

|Resource |Life Insurance Code of Practice |

|Resource |Lloyd’s GST Guidance Ref Y5099 |

|Resource |Marine Insurance Act 1909 |

|Resource |NSW Emergency Services Levy Act 2017 |

|Example |Oral Disclosure Script Template |

|Resource |Premium Funders Code of Practice |

|Template |Product Development and Distribution Statement |

|Resource |Product Research Overview |

|Policy |Product Research Policy and Procedures |

|Template |Renewal Checklist Template |

|Resource |RG168 - Disclosure |

|Resource |RG175 - Adviser Conduct & Disclosure |

|Resource |RG182 - Dollar Disclosure |

|Resource |RG221 - Facilitating Online Financial Disclosure |

|Resource |RG234 - Advertising Financial Products & Advice |

|Resource |RG244 - Information & Advice |

|Resource |RG274 - Product Design and Distribution Obligations |

|Resource |RG275 – Deferred Sales Model For Add On Insurance |

|Resource |RG36 - Advice and Arranging Guide |

|Resource |RG38 - The Hawking Prohibitions |

|Resource |RG90 – Example Statement of Advice |

|Example |SOA (All classes)(AR) Template |

|Example |SOA (All classes)(Licensee) Template |

|Template |SOA (Life-Financial Planning) - Sample |

|Template |Target Market Determination Template |

|Resource |UFI Notice |

|Template |UFI Placement Checklist |

|Resource |Wholesale Broker Agreement Template |

Mission Control Main Menu

Organisation

|Template |Broking Software Supplier Position Description Sample |

|Template |Employment Supplier Position Description |

|Policy |Human Resources Statement |

|Policy |Monitoring and Supervision of Representatives Plan |

|Template |Organisation Chart Template |

|Template |Outsource Agreement Template |

|Resource |Outsourcing Overview |

|Policy |Outsourcing Policy and Procedures |

|Template |Relieving Responsible Manager Agreement |

|Resource |RG104 - Licensing - Meeting The General Requirements |

|Resource |RG105 - Licensing - Organisational Competence |

|Example |Staff Meeting Content |

Mission Control Main Menu

Planning

|Template |Broker Business Plan Template |

|Template |Operational Plans |

Mission Control Main Menu

Privacy

|Resource |Australian Privacy Principles (APP) |

|Resource |Notifiable Data Breach Overview |

|Template |Privacy - Overseas Supplier Table - Excel |

|Template |Privacy - Overseas Supplier Table - Word |

|Resource |Privacy Act |

|Resource |Privacy Overview |

|Policy |Privacy Policy and Procedures |

|Example |Privacy Policy Statement |

|Resource |Guide To Handling Personal Information Breaches |

Mission Control Main Menu

Risk Management

|Template |Broker Fraud Checklist |

|Example |Disaster Recovery Checklist |

|Resource |Disaster Recovery Overview |

|Policy |Disaster Recovery Policy and Procedures |

|Template |Professional Indemnity Questionnaire Template |

|Example |Risk Identification Table |

|Resource |Risk Management Overview |

|Policy |Risk Management Policy and Procedures |

Mission Control Main Menu

Training

|Resource |Glossary of Insurance Terms |

|Resource |Knowledge Base |

|Resource |RG146 - Training |

|Template |Training Completion Form |

|Template |Training Needs Survey |

|Resource |Training Overview |

|Template |Training Plan & Register Template - Excel |

|Template |Training Plan & Register Template - Word |

|Policy |Training Policy and Procedures |

Mission Control Main Menu

Example

|Operational |Broking Letter of Appointment |

|Operational |Broking Letter of Engagement |

|Operational |Broking Letter of Resignation |

|Complaints |Complaint Response Sample |

|Risk Management |Disaster Recovery Checklist |

|Operational |Fact Finder - Business |

|Operational |Fact Finder - Domestic |

|Operational |Fact Finder Needs Analysis - Disablement |

|Operational |Fact Finder Needs Analysis - Motor |

|Operational |Fact Finder Needs Analysis - Trade |

|Operational |General Advice Warning Sample |

|Operational |Oral Disclosure Script Template |

|Privacy |Privacy Policy Statement |

|Risk Management |Risk Identification Table |

|Operational |SOA (All classes)(AR) Template |

|Operational |SOA (All classes)(Licensee) Template |

|Employment |Staff Letter of Engagement Template |

|Organisation |Staff Meeting Content |

Mission Control Main Menu

Policy

|Operational |Broking Policy and Procedures |

|Complaints |Complaints Policy and Procedures |

|Compliance |Compliance Policy and Procedures |

|Conflict Of Interest |Conflict of Interest Policy and Procedures |

|Risk Management |Disaster Recovery Policy and Procedures |

|External Representatives |External Representative Policy and Procedures |

|Operational |Family and Domestic Violence Policy and Procedures |

|Financial |Financial Hardship Policy Statement |

|Financial |Financial Policy and Procedures |

|Organisation |Human Resources Statement |

|Information Technology |Information Technology Policy and Procedures |

|Organisation |Monitoring and Supervision of Representatives Plan |

|Organisation |Outsourcing Policy and Procedures |

|Privacy |Privacy Policy and Procedures |

|Operational |Product Research Policy and Procedures |

|Risk Management |Risk Management Policy and Procedures |

|Employment |Staff Policy and Procedures |

|Training |Training Policy and Procedures |

|W.H & S |WH&S Policy and Procedures |

Mission Control Main Menu

Resource

|Complaints |AFCA Changes – Staff & Representatives Briefing Note |

|Complaints |AFCA Insurance Broker Complaints Approach |

|Complaints |AFCA –Operational Guidelines To The Rules |

|Complaints |AFCA Rules |

|Complaints |AFCA Transition Checklist |

|Complaints |ASIC IDR Data Reporting Instrument 2022-205 |

|Operational |AntiHawking Briefing Note |

|Compliance |Anti Money Laundering Overview |

|Operational |APRA Data Collection Explanatory Note |

|Operational |APRA Form 701 |

|Operational |APRA Instruction Guide - Form 701 |

|Operational |ASIC Act 2001 |

|Operational |ASIC Amendment Deferred Sales Model Regulations 2021 |

|Operational |ASIC Regulations 2001 |

|Financial |Audit and Review Requirements for AFS Licensees - GS003 |

|Privacy |Australian Privacy Principles (APP) |

|Employment |Banking Finance and Insurance Award 2022 Pay Guide |

|Employment |Banking Finance and Insurance Award 2020 |

|Employment |Banking Finance and Insurance Award 2020 Change Overview |

|Compliance |Breach Reporting Briefing Note |

|Operational |Deferred Sales Model For Add On Insurance Briefing Note |

|Operational |Design & Distribution Briefing Note |

|Employment |Casual Employment Information Statement |

|Operational |Class Order - Record Keeping for Personal Advice 2014-923 |

|Operational |Competition and Consumer Act 2010 |

|Complaints |Complaint Brochure |

|Complaints |Complaints Overview |

|Compliance |Compliance Overview |

|Conflict Of Interest |Conflict of Interest Overview |

|Operational |Corporations Act 2001 |

|Operational |Corporations Regulations 2001 (Combined) |

|Financial |Credit Card Payment Surcharges Overview |

|Credit |Credit Regulations |

|Credit |CS01 User Guide - Initial Registration |

|Risk Management |Disaster Recovery Overview |

|Operational |UFI Notice |

|Operational |Do Not Call Briefing Note |

|External Representatives |External Representatives Comparison Table |

|Employment |Fair Work Act 2009 |

|Employment |Fair Work Information Statement |

|Financial |Financial Hardship Overview |

|Financial |Financial Overview |

|Operational |General Insurance Code of Practice 2020 |

|Operational |General Insurance Code of Practice 2020 Overview |

|Training |Glossary of Insurance Terms |

|Privacy |Guide To Handling Personal Information Breaches |

|Complaints |IDR Data Reporting Handbook |

|Operational |Insurance Act 1973 |

|Operational |Insurance Brokers Code of Practice 2022 |

|Operational |Insurance Brokers Code of Practice Overview |

|Operational |Insurance Contracts Act Regulations |

|Operational |Insurance Regulations 2002 |

|Operational |Insurance Contracts Act 1984 |

|Training |Knowledge Base |

|Complaints |Legislative Instrument - AFCA Transition 2018-447 |

|External Representatives |Legislative Instrument - Basic Deposit and General Insurance Distribution 2015 682 |

|Operational |Legislative Instrument – Consumer Statement for Add On Insurance 2021-632 |

|Operational |Legislative Instrument - Disclosure of Lack of Independence 2021-125 |

|Operational |Legislative Instrument - Facilitating Electronic Delivery of Financial Services Disclosure 2015-647.pdf |

|Operational |Legislative Instrument – FSG Given In A Time Critical Situation 2022-498 |

|Operational |Legislative Instrument - General Advice Warning 2015 540 |

|External Representatives |Legislative Instrument - Group Purchasing Bodies 2018 751 |

|Operational |Legislative Instrument – Incidental Retail Cover 2022-716 |

|Operational |Legislative Instrument Life Insurance Commissions 2017 510 |

|External Representatives |Legislative Instrument - Notification of Authorised Representatives 2022-301 |

|Operational |Legislative Instrument - PDS Requirements For General Insurance Quotes 2022-66 |

|Operational |Legislative Instrument Removing Barriers To Electronic Delivery 2015 649 |

|Operational |Life Insurance Code of Practice |

|Operational |Lloyd’s GST Guidance Ref Y5099 |

|Operational |Marine Insurance Act 1909 |

|Employment |Mobile Phone Policy & Agreement |

|Employment |Motor Vehicle Policy & Agreement |

|Credit |National Consumer Credit Protection Act |

|Privacy |Notifiable Data Breach Overview |

|Operational |NSW Emergency Services Levy Act 2017 |

|Operational |NSW ESL Section 30 Guidance |

|Organisation |Outsourcing Overview |

|Financial |Payment Card Industry Data Security Standard (PCI DSS) |

|Operational |Premium Funders Code of Practice |

|Privacy |Privacy Act |

|Privacy |Privacy Overview |

|Operational |Product Research Overview |

|Compliance |Responsible Manager - Compliance Officer Training |

|Financial |RG26 - Resignation Removal and Replacement of Auditors |

|Organisation |RG104 - Licensing - Meeting The General Requirements |

|Organisation |RG105 - Licensing - Organisational Competence |

|Complaints |RG126 - Compensation & Insurance. |

|Training |RG146 - Training |

|Complaints |RG165 - Internal and External Dispute Resolution |

|Financial |RG166 - Financial Requirements |

|Operational |RG168 - Disclosure |

|Operational |RG175 - Adviser Conduct & Disclosure |

|Conflict Of Interest |RG181 - Conflicts Of Interest |

|Compliance |RG182 - Dollar Disclosure |

|External Representatives |RG195 - Group Purchasing Bodies |

|Credit |RG203 - Do I Need a Credit Licence |

|Credit |RG204 Applying for a Credit Licence |

|Credit |RG205 - Credit Licensing - General Obligations |

|Credit |RG206 - Credit Licensing - Competence & Training |

|Credit |RG207 - Credit Licensing - Financial Requirements |

|Credit |RG209 Credit Licensing - Responsible Lending |

|Credit |RG210 - Compensation & Insurance - Credit |

|Operational |RG221 - Facilitating Online Financial Disclosure |

|Operational |RG234 - Advertising Financial Products & Advice |

|Operational |RG244 - Information & Advice |

|Operational |RG246 - Conflicted Remuneration |

|Complaints |RG271 - Internal Dispute Resolution |

|Operational |RG274 - Product Design and Distribution Obligations |

|Operational |RG275 – Deferred Sales Model For Add On Insurance |

|Compliance |RG277 – Consumer Remediation |

|Operational |RG36 - Advice and Arranging Guide |

|Operational |RG38 - The Hawking Prohibitions |

|Compliance |RG78 - Breach Reporting By AFS Licensees |

|Operational |RG90 – Example Statement of Advice |

|Risk Management |Risk Management Overview |

|Employment |Superannuation Choice Form |

|Training |Training Overview |

Mission Control Main Menu

Template

|Employment |Applicant Consent Form |

|Employment |Applicant Direction Form |

|Employment |Applicant Reference Guide |

|Employment |Application For Employment |

|Employment |Appraisal & Development Form |

|Operational |Approved Product Listing Template |

|External Representatives |AR Cross Endorsement Standing Agreement |

|Financial |ASIC FS70 |

|Financial |ASIC FS71 |

|Compliance |ASIC FS80 (Breach Reporting) |

|Financial |Audit Letter of Engagement Template |

|External Representatives |Authorised Representative Agreement Template |

|External Representatives |Authorised Representative Application Form |

|Operational |Banned Product Listing Template |

|Planning |Broker Business Plan Template |

|Risk Management |Broker Fraud Checklist |

|Operational |Broking Fees Table Template |

|Operational |Broking Letter of Review and Quote |

|Operational |Broking Service Standards Sample |

|Organisation |Broking Software Supplier Position Description Sample |

|External Representatives |CAR Agreement Template |

|Financial |Cheque Requisition Form |

|Compliance |Client File Review Sheet Template |

|Complaints |Complaint and IDR Register Template |

|Complaints |Complaints Form |

|Compliance |Compliance Breach Register Template - Word |

|Compliance |Compliance Breach Register Template - Excel |

|Compliance |Compliance Checklist |

|Conflict Of Interest |Conflict of Interest Identification Table Template - Excel |

|Conflict Of Interest |Conflict of Interest Identification Table Template - Word |

|Employment |Contractor Confidentiality Agreement Template |

|External Representatives |Corporate Authorised Representative Application Form |

|External Representatives |Corporate Distributor Agreement Template |

|External Representatives |Corporate Distributor Application Form |

|External Representatives |Distributor Agreement Template |

|External Representatives |Distributor Application Form |

|External Representatives |Distributor Letter of Appointment Template |

|Operational |Document Register Template |

|Operational |UFI Placement Checklist |

|Employment |Employee Warning |

|Employment |Employment Interview Checklist |

|Organisation |Employment Supplier Position Description |

|Employment |Exit Interview Form |

|Financial |Expense Reimbursement Form |

|Financial |Financial Hardship Application Form |

|Operational |Family and Domestic Violence Policy Statement |

|Financial |Financial Supplier Position Description |

|External Representatives |FSG (AR) Template |

|Operational |FSG (Licensee) Template |

|External Representatives |GPB Application Form |

|External Representatives |GPB Letter of Appointment Template |

|Operational |IBCOP Terms of Engagement Template |

|Operational |Important Notices Template |

|Employment |Induction Checklist Form |

|Employment |Induction Survey Form |

|Operational |Insured Risk Checklist |

|Operational |Insurer Incentive Scheme Disclosure Sample |

|Employment |Leave Application Form |

|Financial |Loan Commitment for RG166 |

|Employment |New Employee Details Form |

|Planning |Operational Plans |

|Organisation |Organisation Chart Template |

|Organisation |Outsource Agreement Template |

|Complaints |P.I. Assessment Tool |

|Employment |Police Check Application Form |

|Employment |Position Description |

|Privacy |Privacy - Overseas Supplier Table - Excel |

|Privacy |Privacy - Overseas Supplier Table - Word |

|Operational |Product Development and Distribution Statement |

|Risk Management |Professional Indemnity Questionnaire Template |

|External Representatives |Recipient Created Tax Invoice (RCTI) Agreement Template |

|Organisation |Relieving Responsible Manager Agreement |

|Operational |Renewal Checklist Template |

|Compliance |Representative Compliance Declaration Template |

|Financial |RG166 Compliance Worksheet |

|Employment |Small Business Fair Dismissal Code |

|Operational |SOA (Life-Financial Planning) - Sample |

|I.T. |Spam Wording Template |

|External Representatives |Spotter - Referrer Agreement Template |

|External Representatives |Spotter-Referrer Letter of Appointment Template |

|Employment |Staff Exit Checklist |

|Operational |Target Market Determination Template |

|Employment |Task Allocation Table |

|Training |Training Completion Form |

|Training |Training Needs Survey |

|Training |Training Plan & Register Template - Excel |

|Training |Training Plan & Register Template - Word |

|Operational |Wholesale Broker Agreement Template |

|W H & S |WH&S Checklist |

|Employment |Working From Home – Management Response |

|Employment |Working From Home Agreement |

|Employment |Working From Home Application |

|Employment |Working From Home Assessment |

Mission Control Main Menu

ASIC

|Financial |Template |ASIC FS70 |

|Financial |Template |ASIC FS71 |

|Compliance |Template |ASIC FS80 (Breach Reporting) |

|External Representatives |Resource |Class Order - Record Keeping for Personal Advice 2014-923 |

|Complaints |Resource |IDR Data Reporting Handbook |

|Complaints |Resource |Legislative Instrument - AFCA Transition 2018-447 |

|External Representatives |Resource |Legislative Instrument - Basic Deposit and General Insurance Distribution 2015 682 |

|Operational |Resource |Legislative Instrument – Consumer Statement for Add On Insurance 2021-632 |

|Operational |Resource |Legislative Instrument - Facilitating Electronic Delivery of Financial Services Disclosure 2015-647.pdf |

|Operational |Resource |Legislative Instrument - Disclosure of Lack of Independence 2021-125 |

|Operational |Resource |Legislative Instrument – FSG Given In A Time Critical Situation 2022-498 |

|Operational |Resource |Legislative Instrument - General Advice Warning 2015 540.pdf |

|External Representatives |Resource |Legislative Instrument - Group Purchasing Bodies 2018 751 |

|Operational |Resource |Legislative Instrument – Incidental Retail Cover 2022-716 |

|Operational |Resource |Legislative Instrument Life Insurance Commissions 2017 510 |

|External Representatives |Resource |Legislative Instrument - Notification of Authorised Representatives 2022-301 |

|Operational |Resource |Legislative Instrument - PDS Requirements For General Insurance Quotes 2022-66 |

|Operational |Resource |Legislative Instrument Removing Barriers To Electronic Delivery 2015 649 |

|Financial |Resource |RG26 - Resignation Removal and Replacement of Auditors |

|Organisation |Resource |RG104 - Licensing - Meeting The General Requirements |

|Organisation |Resource |RG105 - Licensing - Organisational Competence |

|Complaints |Resource |RG126 - Compensation & Insurance. |

|Training |Resource |RG146 - Training |

|Complaints |Resource |RG165 - Internal and External Dispute Resolution |

|Financial |Resource |RG166 - Financial Requirements |

|Operational |Resource |RG168 - Disclosure |

|Operational |Resource |RG175 - Adviser Conduct & Disclosure |

|Conflict Of Interest |Resource |RG181 - Conflicts Of Interest |

|Operational |Resource |RG182 - Dollar Disclosure |

|External Representatives |Resource |RG195 - Group Purchasing Bodies |

|Credit |Resource |RG203 - Do I Need a Credit Licence |

|Credit |Resource |RG204 Applying for a Credit Licence |

|Credit |Resource |RG205 - Credit Licensing - General Obligations |

|Credit |Resource |RG206 - Credit Licensing - Competence & Training |

|Credit |Resource |RG207 - Credit Licensing - Financial Requirements |

|Credit |Resource |RG209 Credit Licensing - Responsible Lending |

|Credit |Resource |RG210 - Compensation & Insurance - Credit |

|Operational |Resource |RG221 - Facilitating Online Financial Disclosure |

|Operational |Resource |RG234 - Advertising Financial Products & Advice |

|Operational |Resource |RG244 - Information & Advice |

|Conflict Of Interest |Resource |RG246 - Conflicted Remuneration |

|Complaints |Resource |RG271 - Internal Dispute Resolution |

|Operational |Resource |RG274 - Product Design and Distribution Obligations |

|Operational |Resource |RG275 – Deferred Sales Model For Add On Insurance |

|Compliance |Resource |RG277 – Consumer Remediation |

|Operational |Resource |RG36 - Advice and Arranging Guide |

|Operational |Resource |RG38 - The Hawking Prohibitions |

|Compliance |Resource |RG78 - Breach Reporting By AFS Licensees |

|Operational |Resource |RG90 – Example Statement of Advice |

Mission Control Main Menu

Australian Standards

|Financial |Resource |Audit and Review Requirements for AFS Licensees - GS003 |

Mission Control Main Menu

Codes / Standards

|Operational |Resource |General Insurance Code of Practice 2020. |

|Operational |Resource |Insurance Brokers Code of Practice 2022 |

|Operational |Resource |Life Insurance Code of Practice |

|Financial |Resource |Payment Card Industry Data Security Standard (PCI DSS) |

|Operational |Resource |Premium Funders Code of Practice |

|Employment |Template |Small Business Fair Dismissal Code |

Mission Control Main Menu

Law

|Operational |Resource |APRA Form 701 |

|Operational |Resource |APRA Instruction Guide - Form 701 |

|Operational |Resource |ASIC Act 2001 |

|Operational |Resource |ASIC Amendment Deferred Sales Model Regulations 2021 |

|Complaints |Resource |ASIC IDR Data Reporting Instrument 2022-205 |

|Operational |Resource |ASIC Regulations 2001 |

|Privacy |Resource |Australian Privacy Principles (APP) |

|Employment |Resource |Casual Employment Information Statement |

|Operational |Resource |Competition and Consumer Act 2010 |

|Operational |Resource |Corporations Act 2001 |

|Operational |Resource |Corporations Regulations 2001 (Combined) |

|Financial |Resource |Credit Card Payment Surcharges Overview |

|Credit |Resource |Credit Regulations |

|Employment |Resource |Fair Work Act 2009 |

|Employment |Resource |Fair Work Information Statement |

|Operational |Resource |Insurance Act 1973 |

|Operational |Resource |Insurance Contracts Act Regulations |

|Operational |Resource |Insurance Regulations 2002 |

|Operational |Resource |Insurance Contracts Act 1984 |

|Operational |Resource |Marine Insurance Act 1909 |

|Credit |Resource |National Consumer Credit Protection Act |

|Operational |Resource |NSW Emergency Services Levy Act 2017 |

|Information Technology |Resource |NSW Workplace Surveillance Act Guidelines |

|Employment |Template |Police Check Application Form |

|Privacy |Resource |Privacy Act |

Mission Control Main Menu

MSM

|Complaints |Resource |AFCA Changes – Staff & Representatives Briefing Note |

|Complaints |Resource |AFCA Transition Checklist |

|Operational |Resource |AntiHawking Briefing Note |

|Compliance |Resource |Anti Money Laundering Overview |

|Employment |Template |Applicant Consent Form |

|Employment |Template |Applicant Direction Form |

|Employment |Template |Applicant Reference Guide |

|Employment |Template |Application For Employment |

|Employment |Template |Appraisal & Development Form |

|Operational |Template |Approved Product Listing Template |

|Operational |Resource |APRA Data Collection Explanatory Note |

|External Representatives |Template |AR Cross Endorsement Standing Agreement |

|Financial |Template |Audit Letter of Engagement Template |

|External Representatives |Template |Authorised Representative Agreement Template |

|External Representatives |Template |Authorised Representative Application Form |

|Operational |Template |Banned Product Listing Template |

|Operational |Resource |Design & Distribution Briefing Note |

|Compliance |Resource |Breach Reporting Briefing Note |

|Planning |Template |Broker Business Plan Template |

|Risk Management |Template |Broker Fraud Checklist |

|Operational |Template |Broking Fees Table Template |

|Operational |Example |Broking Letter of Appointment |

|Operational |Example |Broking Letter of Engagement |

|Operational |Example |Broking Letter of Resignation |

|Operational |Template |Broking Letter of Review and Quote |

|Operational |Policy |Broking Policy and Procedures |

|Operational |Template |Broking Service Standards Sample |

|Organisation |Template |Broking Software Supplier Position Description Sample |

|External Representatives |Template |CAR Agreement Template |

|Financial |Template |Cheque Requisition Form |

|Compliance |Template |Client File Review Sheet Template |

|Operational | | |

|Complaints |Resource |Complaint Brochure |

|Complaints |Template |Complaint and IDR Register Template |

|Complaints |Example |Complaint Response Sample |

|Complaints |Template |Complaints Form |

|Complaints |Resource |Complaints Overview |

|Complaints |Policy |Complaints Policy and Procedures |

|Compliance |Template |Compliance Breach Register Template - Word |

|Compliance |Template |Compliance Breach Register Template - Excel |

|Compliance |Template |Compliance Checklist |

|Compliance |Resource |Compliance Overview |

|Compliance |Policy |Compliance Policy and Procedures |

|Conflict Of Interest |Template |Conflict of Interest Identification Table Template - Excel |

|Conflict Of Interest |Template |Conflict of Interest Identification Table Template - Word |

|Conflict Of Interest |Resource |Conflict of Interest Overview |

|Conflict Of Interest |Policy |Conflict of Interest Policy and Procedures |

|Employment |Template |Contractor Confidentiality Agreement Template |

|External Representatives |Template |Corporate Authorised Representative Application Form |

|External Representatives |Template |Corporate Distributor Agreement Template |

|External Representatives |Template |Corporate Distributor Application Form |

|Operational |Resource |Deferred Sales Model For Add On Insurance Briefing Note |

|Risk Management |Example |Disaster Recovery Checklist |

|Risk Management |Resource |Disaster Recovery Overview |

|Risk Management |Policy |Disaster Recovery Policy and Procedures |

|External Representatives |Template |Distributor Agreement Template |

|External Representatives |Template |Distributor Application Form |

|External Representatives |Template |Distributor Letter of Appointment Template |

|Operational |Resource |Do Not Call Briefing Note |

|Operational |Template |Document Register Template |

|Operational |Template |UFI Placement Checklist |

|Operational |Resource |UFI Notice |

|Employment |Template |Employee Warning |

|Employment |Template |Employment Interview Checklist |

|Organisation |Template |Employment Supplier Position Description |

|Employment |Template |Exit Interview Form |

|Financial |Template |Expense Reimbursement Form |

|External Representatives |Policy |External Representative Policy and Procedures |

|External Representatives |Resource |External Representatives Comparison Table |

|Operational |Example |Fact Finder - Business |

|Operational |Example |Fact Finder - Domestic |

|Operational |Example |Fact Finder Needs Analysis - Disablement |

|Operational |Example |Fact Finder Needs Analysis - Motor |

|Operational |Example |Fact Finder Needs Analysis - Trade |

|Operational |Policy |Family and Domestic Violence Policy and Procedures |

|Operational |Template |Family and Domestic Violence Policy Statement |

|Financial |Template |Financial Hardship Application Form |

|Financial |Resource |Financial Hardship Overview |

|Financial |Policy |Financial Hardship Policy Statement |

|Financial |Resource |Financial Overview |

|Financial |Policy |Financial Policy and Procedures |

|Financial |Template |Financial Supplier Position Description |

|External Representatives |Template |FSG (AR) Template |

|Operational |Template |FSG (Licensee) Template |

|Operational |Example |General Advice Warning Sample |

|Operational |Resource |General Insurance Code of Practice 2020 Overview |

|Training |Resource |Glossary of Insurance Terms |

|External Representatives |Template |GPB Application Form |

|External Representatives |Template |GPB Letter of Appointment Template |

|Organisation |Policy |Human Resources Statement |

|Operational |Template |IBCOP Terms of Engagement Template |

|Operational |Template |Important Notices Template |

|Employment |Template |Induction Checklist Form |

|Employment |Template |Induction Survey Form |

|Information Technology |Policy |Information Technology Policy and Procedures |

|Operational |Resource |Insurance Brokers Code of Practice Overview |

|Operational |Template |Insured Risk Checklist |

|Operational |Template |Insurer Incentive Scheme Disclosure Sample |

|Training |Resource |Knowledge Base |

|Employment |Template |Leave Application Form |

|Financial |Template |Loan Commitment for RG166 |

|Employment |Resource |Mobile Phone Policy & Agreement |

|Organisation |Policy |Monitoring and Supervision of Representatives Plan |

|Employment |Resource |Motor Vehicle Policy & Agreement |

|Employment |Template |New Employee Details Form |

|Privacy |Resource |Notifiable Data Breach Overview |

|Planning |Template |Operational Plans |

|Operational |Example |Oral Disclosure Script Template |

|Organisation |Template |Organisation Chart Template |

|Organisation |Template |Outsource Agreement Template |

|Organisation |Resource |Outsourcing Overview |

|Organisation |Policy |Outsourcing Policy and Procedures |

|Complaints |Template |P.I. Assessment Tool |

|Employment |Template |Position Description |

|Privacy |Resource |Privacy - Overseas Supplier Table - Excel |

|Privacy |Resource |Privacy - Overseas Supplier Table - Word |

|Privacy |Resource |Privacy Overview |

|Privacy |Policy |Privacy Policy and Procedures |

|Privacy |Example |Privacy Policy Statement |

|Operational |Template |Product Development and Distribution Statement |

|Operational |Resource |Product Research Overview |

|Operational |Policy |Product Research Policy and Procedures |

|Risk Management |Template |Professional Indemnity Questionnaire Template |

|External Representatives |Template |Recipient Created Tax Invoice (RCTI) Agreement Template |

|Organisation |Template |Relieving Responsible Manager Agreement.doc |

|Operational |Template |Renewal Checklist Template |

|Compliance |Template |Representative Compliance Declaration Template |

|Compliance |Resource |Responsible Manager - Compliance Officer Training |

|Financial |Template |RG166 Compliance Worksheet |

|Risk Management |Example |Risk Identification Table |

|Risk Management |Resource |Risk Management Overview |

|Risk Management |Policy |Risk Management Policy and Procedures |

|Operational |Example |SOA (All classes)(AR) Template |

|Operational |Example |SOA (All classes)(Licensee) Template |

|Operational |Template |SOA (Life-Financial Planning) - Sample |

|I.T. |Template |Spam Wording Template |

|External Representatives |Template |Spotter - Referrer Agreement Template |

|External Representatives |Template |Spotter-Referrer Letter of Appointment Template |

|Employment |Template |Staff Exit Checklist |

|Employment |Example |Staff Letter of Engagement Template |

|Organisation |Example |Staff Meeting Content |

|Employment |Policy |Staff Policy and Procedures |

|Operational |Template |Target Market Determination Template |

|Employment |Template |Task Allocation Table |

|Training |Template |Training Completion Form |

|Training |Template |Training Needs Survey |

|Training |Resource |Training Overview |

|Training |Template |Training Plan & Register Template - Excel |

|Training |Template |Training Plan & Register Template - Word |

|Training |Policy |Training Policy and Procedures |

|Operational |Template |Wholesale Broker Agreement Template |

|Employment |Template |Working From Home – Management Response |

|Employment |Template |Working From Home Agreement |

|Employment |Template |Working From Home Application |

|Employment |Template |Working From Home Assessment |

|W.H & S |Template |WH&S Checklist |

|W.H & S |Policy |WH&S Policy and Procedures |

| | | |

OTHER

Mission Control Main Menu

|Complaints |Resource |AFCA Insurance Broker Complaints Approach |

|Complaints |Resource |AFCA –Operational Guidelines To The Rules |

|Complaints |Resource |AFCA Rules |

|Employment |Resource |Banking Finance and Insurance Award 2022 Pay Guide |

|Employment |Resource |Banking Finance and Insurance Award 2020 |

|Employment |Resource |Banking Finance and Insurance Award 2020 Change Overview |

|Privacy |Resource |Guide To Handling Personal Information Breaches |

|Operational |Resource |Lloyd’s GST Guidance Ref Y5099 |

|Employment |Resource |Superannuation Choice Form |

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