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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