P1502 FAIS Compliance Audit for Assent Legal Pty Ltd
by Freddie Eilers, from the Community
This FAIS compliance audit template supports financial services providers in conducting a comprehensive quarter two review for the 2014 to 2015 period. It covers juristic representatives and Section 13 responsibilities, human resources policies, Treating Customers Fairly culture and management information, licensing checks, complaints handling, and fit and proper confirmations. The checklist guides monitoring of representatives, record keeping and registers, product and provider due diligence, replacement processes, and services under supervision. It addresses AML and FICA registrations, direct marketing controls and voice logging, confidentiality and privacy under data protection laws, and detailed file audit steps for Category I and Category II activities. Use it to document evidence, actions, and follow ups for governance and regulatory compliance.
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This community page makes available free workplace checklists and templates created by other users within the SafetyCulture community. SafetyCulture has re-published this content and where possible, has credited the original author. SafetyCulture has not verified the accuracy, reliability or suitability of any community content. You agree that your use of any of this content is in accordance with SafetyCulture’s Terms and Conditions.