In the post-Hayne Royal Commission world, the need for greater governance, risk and compliance for financial services has increased. The easiest way to ensure you are meeting your requirements is through a compliance calendar — a practical way to organise and focus on the steady stream of regulatory deadlines and essential tasks like training, advice reviews, policy reviews, and committee meetings throughout the year.
We will assist your business to identify and map your obligations, schedule activities to suit your business, and ensure that tasks are allocated to appropriate personnel with clear accountability.
A compliance calendar is a practical checklist of legislative obligations covering areas including:
Authorised Representatives
- Pre-appointment checks
- Cross endorsements and AR agreements
- Change of details / authorisations
- Monitoring and supervision
- Termination procedures
- ASIC notifications
Organisational Capacity
- Adequacy of human resources
- Responsible manager checks
- Business and succession plans
- Training plan reviews
- OH&S review
Compliance & Risk Management
- APL review and update
- Conflicts of interest register review
- Suspicious matter reporting
- Complaints and breach management
- Review of outsourced arrangements
- Business continuity planning
Audit & Financial Management
- Review of financial resources
- ASIC notifications
- Trust account reconciliation
- Financial audit
- ASIC reporting
- Insurance review
Don’t let compliance deadlines creep up on you. A well-structured calendar keeps your business on the front foot all year.