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  • Advisers

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Service Name Detail

Last APL Update

user@email.com

DD/MM/yyyy tt:mm:ss

xxxxxxxxx: xxxxxxxx xxxxxxxx
xxxxxxxxx: xxxxxxxx xxxxxxxx
xxxxxxxxx: xxxxxxxx xxxxxxxx
xxxxxxxxx: xxxxxxxx xxxxxxxx
xxxxxxxxx: xxxxxxxx xxxxxxxx
xxxxxxxxx: xxxxxxxx xxxxxxxx

delete Issues Trash

Below is a list of items that have been scheduled for removal from the system. These items will be automatically removed after 30 days or you can force the removal here.

Select Items to Delete Permanently or Undo Delete.

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Welcome

Welcome

Hi , welcome to .

To navigate around you can use the icon on the top left to show / hide the main menu.

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You can use the avatar icon on the top right to access your user info and sign out.

AS

New Features

User specific favourites

Within the business and people sections you can mark an Adviser or licensee / practice as a favourite by clicking the star icon. This will make finding them easier when searching. Click on the star in the search box to limit the results to your favourites.

star_outline

Help

Requests for support can be made by clicking on the help icon and selecting to Log a Support Request. The system will take a screenshot on the screen you are on, but you can also add screenshots to the description if required.

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Guide

Each of the main modules have a guide available to tour around the various features available you can access this by visiting the help icon and clicking on Show Guide.

account_tree

Updates

Version: 2.81

Release Notes:

Review for Test Adviser

Initial Review Request

check_circle
10 Feb. 2014
date_range

Review Date Accepted.

schedule 00:00
Etsy doostang zoodles disqus groupon greplin oooj voxy zoodles, weebly ning heekya handango imeem plugg dopplr jibjab, movity jajah plickers sifteo edmodo ifttt zimbra. Babblely odeo kaboodle quora plaxo ideeli hulu weebly balihoo...
description

File Details Provided.

schedule 00:00
MariaEtsy doostang zoodles disqus groupon greplin oooj voxy zoodles, weebly ning heekya handango imeem plugg dopplr jibjab, movity jajah plickers sifteo edmodo ifttt zimbra. Babblely odeo kaboodle quora plaxo ideeli hulu weebly balihoo...
report_problem

Escalation Email Sent to Licensee.

schedule 00:00
Etsy doostang zoodles disqus groupon greplin oooj voxy zoodles, weebly ning heekya handango imeem plugg dopplr jibjab, movity jajah plickers sifteo edmodo ifttt zimbra. Babblely odeo kaboodle quora plaxo ideeli hulu weebly balihoo...
3 Jan. 2014

Sourcing Reviewer

check_circle
10 Feb. 2014
report_problem

Review Declined.

schedule 00:00
Etsy doostang zoodles disqus groupon greplin oooj voxy zoodles, weebly ning heekya handango imeem plugg dopplr jibjab, movity jajah plickers sifteo edmodo ifttt zimbra. Babblely odeo kaboodle quora plaxo ideeli hulu weebly balihoo...
report_problem

Filed to Send Email.

schedule 00:00
MariaEtsy doostang zoodles disqus groupon greplin oooj voxy zoodles, weebly ning heekya handango imeem plugg dopplr jibjab, movity jajah plickers sifteo edmodo ifttt zimbra. Babblely odeo kaboodle quora plaxo ideeli hulu weebly balihoo...
assignment_turned_in

Review Record Created.

warning 00:00
MariaEtsy doostang zoodles disqus groupon greplin oooj voxy zoodles, weebly ning heekya handango imeem plugg dopplr jibjab, movity jajah plickers sifteo edmodo ifttt zimbra. Babblely odeo kaboodle quora plaxo ideeli hulu weebly balihoo...
3 Jan. 2014

Clarifying Files

arrow_downward check_circle
10 Feb. 2014
person

Reviewer Selected.

schedule 00:00
MariaEtsy doostang zoodles disqus groupon greplin oooj voxy zoodles, weebly ning heekya handango imeem plugg dopplr jibjab, movity jajah plickers sifteo edmodo ifttt zimbra. Babblely odeo kaboodle quora plaxo ideeli hulu weebly balihoo...
date_range

Review Rescheduled.

schedule 00:00
Etsy doostang zoodles disqus groupon greplin oooj voxy zoodles, weebly ning heekya handango imeem plugg dopplr jibjab, movity jajah plickers sifteo edmodo ifttt zimbra. Babblely odeo kaboodle quora plaxo ideeli hulu weebly balihoo...
3 Jan. 2014

Conforming Review

check_circle
10 Feb. 2014
email

Initial Email Sent to the Adviser.

schedule 00:00
Etsy doostang zoodles disqus groupon greplin oooj voxy zoodles, weebly ning heekya handango imeem plugg dopplr jibjab, movity jajah plickers sifteo edmodo ifttt zimbra. Babblely odeo kaboodle quora plaxo ideeli hulu weebly balihoo...
email

Fallow Up Email Sent.

schedule 00:00
MariaEtsy doostang zoodles disqus groupon greplin oooj voxy zoodles, weebly ning heekya handango imeem plugg dopplr jibjab, movity jajah plickers sifteo edmodo ifttt zimbra. Babblely odeo kaboodle quora plaxo ideeli hulu weebly balihoo...
notification_important

Notification Email.

schedule 00:00
Etsy doostang zoodles disqus groupon greplin oooj voxy zoodles, weebly ning heekya handango imeem plugg dopplr jibjab, movity jajah plickers sifteo edmodo ifttt zimbra. Babblely odeo kaboodle quora plaxo ideeli hulu weebly balihoo...
3 Jan. 2014

Select Fields to Change

records selected.

Update the fields below with the changes required.

In the next step you will be able to review the changes before committing.

Confirm Change

Each of the records will be updated with the following changes:

Please make sure the above details area correct before confirming the changes.

check_circle Started making changes

out of records updated.

Select Import File

Download the template
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Choose a file or drag it here

Supports: CSV

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Processing file...

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Error reading file. Please download the import template if required.

Import

Match headers from your CSV with AS:

Import APL Fields CSV Fields
E-mail Default
E-mail Default
E-mail Default
E-mail Default
E-mail Default
E-mail Default
E-mail Default
E-mail Default
E-mail Default
E-mail Default
E-mail Default
E-mail Default
E-mail Default
E-mail Default
E-mail Default
warning

Could not match fields based on requirements , please try again.

Review Fields (First CSV row):

Email: email@email.com
First Name: xxxxxxxxxxxxx
Second Name: xxxxxxxxxxxxx
Second Name: xxxxxxxxxxxxx
Second Name: xxxxxxxxxxxxx
Email: email@email.com
First Name: xxxxxxxxxxxxx
Second Name: xxxxxxxxxxxxx
Second Name: xxxxxxxxxxxxx
Second Name: xxxxxxxxxxxxx

What to do with duplicates if found:

One record for duplicate data

Separated record for duplicate data

check_circle Started Import

This import may take a while, don't worry we will notify you by e-mail when is ready.

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Submit New Record

Select your contact record from the list.

Lock Review

Before you lock this review, have you received any further information from the adviser?

40%

Attestation

Success
Error

I, have reviewed the Business Strategy and Risk Appetite for , the Licensee providing services and activites for which they are authorised.

Regulatory Update

  • Details
  • Content
  • Change Log
  • Views Log
Created by user:
Created date:
Modified by user:
Modified date:
Auto Saving... Saved 6:35am

Regulatory Update (News)

  • Details
  • Content
  • Change Log
  • Views Log
Created by user:
Created date:
Modified by user:
Modified date:
Auto Saving... Saved 6:35am

Letter

  • Content
Auto Saving... Saved 6:35am

Create New Document

Start Document from Scratch

Subscribe to an existing template

Creating Document

0%

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s Advanced Search

Advanced Search

Contact Advanced Search

Issues Advanced Search

Complaint Advanced Search

Comments
Calendar
Calendar

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Practice Advanced Search

New 

Background Check Detail
File
 
 Attestation
 

There is no evidence that suggests that the  has conducted in misleading, deceptive or unconscionable conduct that occurred in the last 5 years.

  • I agree with this statement and All Documents have been verified.
  • Appoint this .
  • This  can skip 'Provisional' status and be set to Active.

By agreeing with this statement and appointing the  you will be changing this  to provisional status. This  will have a new dashboard displayed. All Background Check documents will be hidden from the dashboard view, but all records will be kept within the  Details.

Document -
File
     

Commission

Business
% retained by Licensee

Non APL Approval

  • Details
  • Attachments
 
 
Created by user:
Created date:
Modified by user:
Modified date:

Asset Allocation Variance Approval

  • Details
  • Attachments
 
Created by user:
Created date:
Modified by user:
Modified date:

Role

  • Details
  • Attachments
Created by user:
Created date:
Modified by user:
Modified date:

Marketing

  • Details
  • Attachments
Created by user:
Created date:
Modified by user:
Modified date:

Marketing

  • Details
  • Attachments
Created by user:
Created date:
Modified by user:
Modified date:

Corporate

File
Close
Save
 
New Licensee

Marketing

 
Attachments
Add
File
 
Save Close Delete
Exception / Approval
 
Attachments
Add
File
 

Marketing

 
Attachments
Add
File
 
Save Close Delete
Exception / Approval
 
Attachments
Add
File
 
New

BID & Code of Ethics Questions

Report

Report Date
Report Colour
Include
 
Email Sent.
Add Recipient
Add
Add
Send

Report

Report Colour
Include
 
Email Sent.
Add Recipient
Search Recipient
Add
Key Contacts
Add
From
To (use ; to separate multiple addresses)
CC (use ; to separate multiple addresses)
BCC (use ; to separate multiple addresses)
Attachments (use ctrl to select multiple attachments)
Template
Subject
Send
Schedule  Review
Schedule Licensee Review

Schedule a Meeting

Meeting

settings
Action Another action Something else here
  • Summary
  • Attendees
  • Items & Actions
  • Log
  • Report
  • Attachments
Created by user:
Created date:
Modified by user:
Modified date:
 
 
Only the most recent 100 logs are shown
     
    Click here to Generate Report content
    • Items
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    Created by user:
    Created date:
    Modified by user:
    Modified date:
    Created by user:
    Created date:
    Modified by user:
    Modified date:

    Operational Risk Indicators

    Action

    • Details
    • Attachments
    Created by user:
    Created date:
    Modified by user:
    Modified date:

    Action

    • Details
    • Meeting
    • Attachments
    Created by user:
    Created date:
    Modified by user:
    Modified date:

    Note

    • Details
    • Attachments
    Created by user:
    Created date:
    Modified by user:
    Modified date:

    Event

    • Details
    • Content
    Created by user:
    Created date:
    Modified by user:
    Modified date:
    Auto Saving... Saved 6:35am

    Contact

    • Details
    • Profile
    • Kanban

    Drag your image here, or Browse
    Supports .jpg, .jpeg, .png. Ideally the image would be square.
    Current Image
    Created by user:
    Created date:
    Modified by user:
    Modified date:

    Contact List

    Leave

    Created by user:
    Created date:
    Modified by user:
    Modified date:

    Diary Action

    • Details
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    File
    Created by user:
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    Modified date:

    Activity

    • Summary
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    • Attachments
    mins
     
     
     
     
    Created by user:
    Created date:
    Modified by user:
    Modified date:

    Activity Attendee

    • Summary
    • Other Activity Attendees
    • Activity Attachments
    Activity Details
    mins
    Created by user:
    Created date:
    Modified by user:
    Modified date:

    Coaching

    • Details
    • Attachments
    mins
    Created by user:
    Created date:
    Modified by user:
    Modified date:

    Training Event

    • Summary
    Close
     

    Training

    • Summary
    • Attachments
    Created by user:
    Created date:
    Modified by user:
    Modified date:

    Training

    • Details
    • Attachments
    Created by user:
    Created date:
    Modified by user:
    Modified date:

    Conflicts

    • Details
    • Management and Monitoring
    • Attachments
    Created by user:
    Created date:
    Modified by user:
    Modified date:

    Conflicts

    • Details
    • Attachments
    Created by user:
    Created date:
    Modified by user:
    Modified date:

    Complaint

    settings
    Action Another action Something else here
    • Summary
    • Complainant
    • Source
    • Description
    • Claims / Costs
    • Stages
    • Actions
    • Attachments
    • Email
    • Email Logs
    • Outcome
     
     
    $
    Financial Tracking
    Add
    Add
    Created by user:
    Created date:
    Modified by user:
    Modified date:

    Complaint

    • Summary
    • Source
    • Description
    • Claims / Costs
    • Actions
    • Attachments
     
     
    $
    Add
    Add
    File
    Close
     

    Service Period

    • Details
    • Service
    • Tracking
    • Letter of Engagement
    • Attachments
    • Log
    $
    Package Inclusions Price
     
     
    Subject RE:
    Discount %
    Contingencies %
    Additional Hour Rate $
    Within Fees and Charges Area
    Display Fee As
    Discount Text
    Totals
    Net  Total $
    Discounted  Total $
    Gross  Total $
    All prices Exclude GST
    $
    Under Construction
    200 business days remaining till end of the period
    Type Requirement Completed Remaining
    Licensee 4 1 3
    Preview
    Only the most recent 100 logs are shown

    Proposal / Service Period

    settings
    autorenew Renew
    • Details
    • Service
    • Tracking
    • Proposal
    • Invoices
    • Attachments
    • Log
    Invoice(s) Created
    autorenew   Renewal
    $
     
     
    Included Services:
    Other Available Services:
    Discretionary Discount %
    Additional Hourly Rate $
    Within Fees and Charges Area
    Display Fee As
    Totals
    Gross  Total $
    Client Discount  Total $
    Discretionary Discount  Total $
    Net  Total $
    All prices Exclude GST
    $
    Under Construction
    200 business days remaining till end of the period
    Type Requirement Completed Remaining
    Licensee 4 1 3
    Preview
    Only the most recent 100 logs are shown
    Created by user:
    Created date:
    Modified by user:
    Modified date:

    Proposal Notification Status

    Enabled Disabled
     

    Invoice Preview

    TAX INVOICE

    Demo Company Logo

    To:

    11 Kendall Pl

    KAREELA 2232

    NSW

    Australia


    Invoice Number:ORC1044

    ABN:11111111138

    Reference Number:1336395

    Issued:Jan 1, 2023

    Due:Jan 2, 2023 (319 days overdue)

    From:Assured Support

    Suite 1, Ground Floor, 439-441 Kent St

    Sydney

    NSW

    Australia

    Based on the current service period, these details can be submitted to Xero to create the following invoices.

    The line items for each invoice will be identical, but you can modify these through Xero if required to add additional services to a clients invoice.
    Note These invoices will not be automatically sent out from the system at all, you will be able to email them out through Xero.

    Renew Service Period

    Copying Object(s) Status
    Service Period
    Packages
    Services
    Other Services
    Your new service period has been set up and is available under services within the linked client.
    You can close this window.
    Your new service period has been set up and is available under services at {link to client direct link (/#/client/business/view-[client business id])}
    You can close this window.
    An error has occured submitting this form. Please refresh and try again.

    Create a new service proposal renewing the existing service items.

    All details including the package, services and other services will be copied across to the new proposal. You will be able to adjust the services after creating the renewal.

    Service Item

    • Details
    $
    Service Link
    Created by user:
    Created date:
    Modified by user:
    Modified date:

    Service Item

    • Details
    $
    Created by user:
    Created date:
    Modified by user:
    Modified date:
    Service Task Status
    • Services
    • Details

    Service Period

    • Details
    • Service
    • Tracking
    • Letter of Engagement
    • Attachments
    • Log
    $
     
    Subject RE:
    Discount %
    Contingencies %
    Additional Hour Rate $
    Within Fees and Charges Area
    Display Fee As
    Discount Text
    Totals
    Net  Total $
    Discounted  Total $
    Gross  Total $
    All prices Exclude GST
    $
    Under Construction
    200 business days remaining till end of the period
    Type Requirement Completed Remaining
    practice 4 1 3
    From
    Reply to
    Recipient
    CC
    Attachments
    Preview  
    Add
    File
    Only the most recent 100 logs are shown
    To delete this service period please email the Assured Support development team with as Reference.
     
    Service Task Status

    Obligation & Risk Advanced Search

    Obligation Risk

    • Summary
    • Control
    • Monitoring
    • Review History
    • Attestation History
    • Logs
    • Attachments
     
    Only the most recent 100 logs are shown
    Created by user:
    Created date:
    Modified by user:
    Modified date:

    Risk

    • Summary
    • Control
    • Monitoring
    • Review History
    • Attachments
    Created by user:
    Created date:
    Modified by user:
    Modified date:

    Monitoring

    • Summary
    • Attestation Definitions
    Attestation Preview
    Created by user:
    Created date:
    Modified by user:
    Modified date:

    Attestation

    • Summary
    • Attachments
    File
    Created by user:
    Created date:
    Modified by user:
    Modified date:

    Issue

    • Summary
    • Observation
    • Remediation Actions
    • Attachments
     
     
     
     
     
     
     
    • Detail
    • Issue
     
     
     
    Loading...
    You have selected to update the status of this remedial action to

    By default all files referenced in this remediation (listed to the right) will be updated with the same status, please select the files to exclude if they are not to be given this status.

    Any files excluded will be created as a separate remedial action.

     
    File
    Close
     

    Remediation

    • Details
    • Issue
    File
    You have selected to update the status of this remedial action to

    By default all files referenced in this remediation (listed to the right) will be updated with the same status, please select the files to exclude if they are not to be given this status.

    Any files excluded will be created as a separate remedial action.

     
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    Updates
    • General

    Notifications

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    • Obligations
    • Complaints
    • Breaches
    • Emails

    Support Request

    Your request has been submitted, the reference number for this request is . We will respond to your query shortly.
    Thank you.

    Activity

    • Summary
    • Attendees
    • Attachments
     OR 
    Linking to Existing Activity
    Creating New Activity
     - 
    mins
    Activity Details
    mins
     
     
    Close
     

    Coaching

    • Details
    • Attachments
    mins
    Created by user:
    Created date:
    Modified by user:
    Modified date:

    Compliance Manual Settings

    Title Times Used
    Risk Analysis 20
    Hierarchy Chart 1
    Org Chart 15
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    Close
    Create PDF

    Compliance Manual Section History

    Close
    Close
     

    Compliance Manual Section

    • Details
    • Advanced
    • History
    Close
    Save
     

    Section

    • Details
    • Advanced
    • History
    Created by user:
    Created date:
    Modified by user:
    Modified date:

    PDF Settings

    • Details
    • History
    Title Last Updated
    Processing...

    Template

    Created by user:
    Created date:
    Modified by user:
    Modified date:

    Remediation

    settings
    Action Another action Something else here
    • Details
    • Attachments
    • Email
    • Email Logs
    • Issue
    • Tasks
    You have selected to update the status of this remedial action to

    By default all files referenced in this remediation (listed to the right) will be updated with the same status, please select the files to exclude if they are not to be given this status.

    Any files excluded will be created as a separate remedial action.

     
    Created by user:
    Created date:
    Modified by user:
    Modified date:

    Issue

    settings
    Action Another action Something else here
    • Summary
    • Observation
    • Remediation Actions
    • Breach
    • Financials
    • Attachments
    • Email
    • Email Logs
    • Log

    A Breach has been generated from this issue in the system with reference .
    Visit the Breach module to update / edit this record.

    • Detail
    • Issue
    File
     
     
    Loading...
    You have selected to update the status of this remedial action to

    By default all files referenced in this remediation (listed to the right) will be updated with the same status, please select the files to exclude if they are not to be given this status.

    Any files excluded will be created as a separate remedial action.

     
    $
    Financial Tracking
    Add
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    Only the most recent 100 logs are shown
    Created by user:
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    Breach

    • Summary
    • Observation
    • Issue
    • Licensee Response
    • Financials
    • Attachments
    • ASIC Notification
    • Email
    • Email Logs
    • Log
    Loading...
    • Detail
    • Issue
    Add
    File
     
     
    Loading...
    You have selected to update the status of this remedial action to

    By default all files referenced in this remediation (listed to the right) will be updated with the same status, please select the files to exclude if they are not to be given this status.

    Any files excluded will be created as a separate remedial action.

     
    $
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    Number To Date Due Date Paid Due Sent
    Mark Otto @mdo Mark Otto @mdo
    Mark Otto @mdo Mark Otto @mdo
    Mark Otto @mdo Mark Otto @mdo
    Mark Otto @mdo Mark Otto @mdo
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    53%

    Adviser Updatesexpand_more

    These topical webinars will provide your advisers with practical and engaging training that encompass advice process, advice quality and practical insights. These legal, regulatory and compliance updates will, as required, include external presenters.

    description
    Open Details

    40%

    Annual Responsible Manager Workshopexpand_more

    These workshop/casestudies are collaborative training sessions designed to test, and develop, Responsible Managers\' practical understanding of the law, regulatory expectations and anticipated changes in a \'risk-free\' and confidential environment.

    description
    Open Details

    53%

    Quarterly Responsible Manager Workshopsexpand_more

    These quarterly workshop/casestudies are collaborative training sessions designed to test, and develop, Responsible Managers\' practical understanding of the law, regulatory expectations and anticipated changes in a \'risk-free\' and confidential environment.

    description
    Open Details

    53%

    Adviser Training Plansexpand_more

    We will provide, monitor and maintain Adviser Training Plans customised to each adviser\'s authority, competence, education and authority.

    description
    Open Details

    53%

    Ops Updatesexpand_more

    These topical webinars designed for operational staff, focus on the practical consequences of, and considerations for, managing legal, regulatory and compliance requirements.

    description
    Open Details

    53%

    Ongoing Supportexpand_more

    Uncapped phone and email support to advisers and Licensees on compliance, advice and regulatory issues.

    description
    Open Details

    53%

    Document Reviewexpand_more

    We will review your key regulated documents (SoA, RoA, FSG, FDS, OSA and Consent) to identify areas for improvement and confirm compliance with the applicable laws.

    description
    Open Details

    53%

    Compliance Platform (Standard)expand_more

    You will have access to our Compliance CRM, , that provides you with consolidated adviser details and the integrated registers (complaints, breaches, issues, conflicts) expected by Regulators.

    description
    Open Details

    53%

    Compliance Platform (Professional)expand_more

    You will have access to our regtech platform, , to provide the consolidated adviser details, compliance framework (risk and obligations), remediation and integrated registers (complaints, breaches, issues, conflicts) expected by Regulators. This Compliance CRM is interrogable, flexible and facilitates the reporting anticipated by ASIC (TMD and Complaints). In addition, the platform provides the Licensee with additional management reporting, task management and task tracking capabilities.

    description
    Open Details

    53%

    Governance Support (Basic Needs)expand_more

    In addition to the compliance platform (Standard), Assured Support representatives will attend one (1) internal meeting (Compliance Committee, Board, Responsible Manager, Management or Investment Committee) and provide you with an Obligations and Risk Register and a Training Register to help you manage your compliance obligations.

    description
    Open Details

    53%

    Governance Support (Standard Requirements)expand_more

    In addition to the compliance platform (Standard), Assured Support representatives will attend two (2) internal meetings (Compliance Committee, Board, Responsible Manager, Management or Investment Committee) and provide you with an Obligations and Risk Register and a Training Register to help you manage your compliance obligations. We will maintain, monitor and track these registers and provide you with regular reports on open and closed actions. In addition to providing uncapped phone and email support, we will also provide, and maintain, a Compliance Manual tailored to your business (and relevant tailored Licensee Standards).

    description
    Open Details

    53%

    Governance Support (Professional Requirements)expand_more

    In addition to us Chairing quarterly meetings (including preparing the agenda, keeping detailed minutes and facilitating internal reporting), we will provide you with access to the compliance platform (Professional Requirements). Further, your dedicated Account Manager will track actions and assigned tasks, monitor and report on CPD, compliance obligations and remediation as well as maintaining your key registers on (Incidents, Breaches, Conflicts and Complaints). In addition to uncapped phone and email support, your dedicated Account Manager will assist you with all ASIC notifications and lodgments. Further, an Assured Support representative is available to attend one (1) other internal meeting (Board, Responsible Manager, Management or Investment Committee) and provide you with an Obligations and Risk Register and a Training Register to help you manage your compliance obligations. We will maintain, monitor and track these registers and provide you with regular reports on open and closed actions. We will also provide, and maintain, a Compliance Manual tailored to your business (and relevant tailored Licensee Standards).

    description
    Open Details

    53%

    Advice Assurance Reviewsexpand_more

    A review considers issued advice (and supporting material) to assess the adviser\'s competency, conduct and compliance with the financial services laws.

    description
    Open Details

    53%

    Advice Assurance Review (Pre-vetting)expand_more

    A review considers advice (and supporting material) prior to issue to assess the adviser\'s competency, conduct and compliance with the financial services laws.

    description
    Open Details

    53%

    AFSL Health Checkexpand_more

    This high-level review of your compliance documents will assess whether, and to what extent, your current arrangements satisfy your legal obligations.

    description
    Open Details

    53%

    Licensee Reviewexpand_more

    Our Licensee Review will provide you with a methodical, objective and considered assessment of your compliance, risk management and governance arrangements (including your advice documents and processes) against internal requirements and your legal and professional obligations. This detailed review of your culture, resources, structure, model, compliance frameworks and governance arrangements not only considers whether, and to what extent, your current arrangements satisfy your legal obligations but, by addressing operational effectiveness, provides you with an objective analysis likely to reassure Regulators, Insurers and other stakeholders that your business operates "efficiently, honestly and fairly".

    description
    Open Details

    53%

    ACL Health Checkexpand_more

    This high-level review of your compliance documents will assess whether, and to what extent, your current arrangements satisfy your legal obligations.

    description
    Open Details

    53%

    License Application (Basic Needs)expand_more

    We will assist you to prepare and submit your AFSL/ACL application (including liaising with ASIC) and secure your AFSL/ACL. We will assist you to prepare the documentation you require including the relevant proofs, compliance framework and FSG (or equivalent). The cost excludes disbursements and statutory fees.

    description
    Open Details

    53%

    License Application (Standard Requirements)expand_more

    We will assist you to prepare and submit your AFSL/ACL application (including liaising with ASIC) and secure your AFSL/ACL. We will assist you to prepare the documentation you require including the relevant proofs, compliance framework, tailored compliance manual and FSG (or equivalent). The cost excludes disbursements and statutory fees.

    description
    Open Details

    53%

    License Application (Professional Requirements)expand_more

    We will assist you to prepare and submit your AFSL/ACL application (including liaising with ASIC) and secure your AFSL/ACL. We will assist you to prepare the documentation you require including the relevant proofs, compliance framework, tailored compliance manual (including relevant Licensee Standards) and regulated documents including the FSG, SoA template, Letter of Engagement, FDS or Consent. We will also assist you to obtain AFCA membership, secure PI and appoint an auditor. The cost excludes disbursements and statutory fees.

    description
    Open Details

    53%

    Responsible Manager Servicesexpand_more

    To assist you to develop, or maintain, organisational capacity (or satisfy regultory requirements) we can provide you with a Responsible Manager able to assume a significant role in your business for a pre-determined term. The proposed external Responsible Manager will be appointed subject to a formal service contract and no involvement in, or influence over, any other services we provide to you.

    description
    Open Details

    53%

    Due Diligence (Adviser)expand_more

    Prior to you appointing an adviser under your license, we will review a sample of their advice in accordance with our advice assurance process, to determine whether, and to what extent the adviser complies with the applicable laws and identify any process, advice or conduct issues that are, or suggest, significant issues. On the basis of our review, we will provide you with a formal recommendation and, if required, a detailed report.

    description
    Open Details

    53%

    Due Diligence (Practice)expand_more

    Prior to you appointing a corporate entity under your license, we will review a sample of the advice produced by their representatives in accordance with our advice assurance process, to determine whether, and to what extent the adviser complies with the applicable laws and identify and process or conduct issues that are, or suggest, significant issues. We will also consider the entity itself, its stucture, governance and promotional material. On the basis of our review, we will provide you with a formal recommendation and, if required, a detailed report.

    description
    Open Details

    53%

    Due Diligence (Reference Checking and Information Sharing)expand_more

    Prior to you appointing an adviser under your license, we will manage the reference checking and information sharing process required by the Refence Checking and Information Sharing Protocol. In addition to facilitating the bankruptcy and character checks, we will contact referees and former employers to provide an objective and arms-length review. On the basis of our review, we will provide you with a formal recommendation and, if required, a detailed report.

    description
    Open Details

    53%

    Presentationsexpand_more

    Use current text

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    53%

    Legal Servicesexpand_more

    As an integrated legal practice, we can provide you with a range of legal services including representation, formal advice or opinions on commercial or regulatory matters, draft and review contracts, initiate or respond to claims and actions, resolve disputes or provide complementary services subject to legal and professional privilege. Please be aware that the provision of legal services is subject to additional disclosure and additional requirements.

    description
    Open Details

    53%

    Compliance Manualexpand_more

    With your active involvement, we will develop, and maintain, a Compliance Manual tailored to the nature, scale and complexity of your business that will assist you, and your representatives, to understand and satisfy your obligations and comply with the applicable laws.

    description
    Open Details

    53%

    Licensee Standardsexpand_more

    With your active involvement, we will develop, and maintain, Licensee Standards (policies and procedures) relevant to the nature, scale and complexity of your business and tailored to your needs. These Guidelines will assist you, and your representatives, to understand how you satisfy your obligations and what practical steps are necessary to comply with the applicable laws.

    description
    Open Details

    53%

    Consultingexpand_more

    Strategic or specific advice on compliance or regulatory matters.

    description
    Open Details

    53%

    Dispute Resolutionexpand_more

    The expert team at Assured Support provides a variety of resources to help you find solutions, repair relationships, and assist you in the event that formal dispute resolution is unavoidable. Our multi-disciplinary approach and deep subject matter expertise, and our practical experience with ASIC guidance (including RG165 and RG271) mean that you'll be able to meet, or exceed, regulatory and consumer expectations.

    description
    Open Details

    53%

    Remediation Supportexpand_more

    Our resources, multi-disciplinary approach and deep subject matter expertise (combined with our practical experience with ASIC guidance (including RG256 and CP335)) mean that we are well placed to assist you to meet, or exceed, regulatory and consumer expectations for remediation programs.

    description
    Open Details

    53%

    Platform Developmentexpand_more

    Specific recoding/redevelopment of in accordance with your needs and instructions. Each project will be supported by a separate work order/project quote and will require internal approval before work proceeds.

    description
    Open Details

    53%

    Exclusive Live Eventsexpand_more

    Access to Assured Support live events that are held throughout the year.

    description
    Open Details

    53%

    Dedicated Account Managerexpand_more

    Dedicated Account Manager.

    description
    Open Details

    53%

    Chair Quarterly Meetingsexpand_more

    Assured Support will Chair your Quarterly Meetings.

    description
    Open Details
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    Number To Date Due Date Paid Due Sent
    Mark Otto @mdo Mark Otto @mdo
    Mark Otto @mdo Mark Otto @mdo
    Mark Otto @mdo Mark Otto @mdo
    Mark Otto @mdo Mark Otto @mdo
    Mark Otto @mdo Mark Otto @mdo
    Unlinked contact

    Not linked to Xero

    Linked contact

    Currently Linked to Xero Contact

    53%

    Adviser Updatesexpand_more

    These topical webinars will provide your advisers with practical and engaging training that encompass advice process, advice quality and practical insights. These legal, regulatory and compliance updates will, as required, include external presenters.

    description
    Open Details

    40%

    Annual Responsible Manager Workshopexpand_more

    These workshop/casestudies are collaborative training sessions designed to test, and develop, Responsible Managers\' practical understanding of the law, regulatory expectations and anticipated changes in a \'risk-free\' and confidential environment.

    description
    Open Details

    53%

    Quarterly Responsible Manager Workshopsexpand_more

    These quarterly workshop/casestudies are collaborative training sessions designed to test, and develop, Responsible Managers\' practical understanding of the law, regulatory expectations and anticipated changes in a \'risk-free\' and confidential environment.

    description
    Open Details

    53%

    Adviser Training Plansexpand_more

    We will provide, monitor and maintain Adviser Training Plans customised to each adviser\'s authority, competence, education and authority.

    description
    Open Details

    53%

    Ops Updatesexpand_more

    These topical webinars designed for operational staff, focus on the practical consequences of, and considerations for, managing legal, regulatory and compliance requirements.

    description
    Open Details

    53%

    Ongoing Supportexpand_more

    Uncapped phone and email support to advisers and Licensees on compliance, advice and regulatory issues.

    description
    Open Details

    53%

    Document Reviewexpand_more

    We will review your key regulated documents (SoA, RoA, FSG, FDS, OSA and Consent) to identify areas for improvement and confirm compliance with the applicable laws.

    description
    Open Details

    53%

    Compliance Platform (Standard)expand_more

    You will have access to our Compliance CRM, , that provides you with consolidated adviser details and the integrated registers (complaints, breaches, issues, conflicts) expected by Regulators.

    description
    Open Details

    53%

    Compliance Platform (Professional)expand_more

    You will have access to our regtech platform, , to provide the consolidated adviser details, compliance framework (risk and obligations), remediation and integrated registers (complaints, breaches, issues, conflicts) expected by Regulators. This Compliance CRM is interrogable, flexible and facilitates the reporting anticipated by ASIC (TMD and Complaints). In addition, the platform provides the Licensee with additional management reporting, task management and task tracking capabilities.

    description
    Open Details

    53%

    Governance Support (Basic Needs)expand_more

    In addition to the compliance platform (Standard), Assured Support representatives will attend one (1) internal meeting (Compliance Committee, Board, Responsible Manager, Management or Investment Committee) and provide you with an Obligations and Risk Register and a Training Register to help you manage your compliance obligations.

    description
    Open Details

    53%

    Governance Support (Standard Requirements)expand_more

    In addition to the compliance platform (Standard), Assured Support representatives will attend two (2) internal meetings (Compliance Committee, Board, Responsible Manager, Management or Investment Committee) and provide you with an Obligations and Risk Register and a Training Register to help you manage your compliance obligations. We will maintain, monitor and track these registers and provide you with regular reports on open and closed actions. In addition to providing uncapped phone and email support, we will also provide, and maintain, a Compliance Manual tailored to your business (and relevant tailored Licensee Standards).

    description
    Open Details

    53%

    Governance Support (Professional Requirements)expand_more

    In addition to us Chairing quarterly meetings (including preparing the agenda, keeping detailed minutes and facilitating internal reporting), we will provide you with access to the compliance platform (Professional Requirements). Further, your dedicated Account Manager will track actions and assigned tasks, monitor and report on CPD, compliance obligations and remediation as well as maintaining your key registers on (Incidents, Breaches, Conflicts and Complaints). In addition to uncapped phone and email support, your dedicated Account Manager will assist you with all ASIC notifications and lodgments. Further, an Assured Support representative is available to attend one (1) other internal meeting (Board, Responsible Manager, Management or Investment Committee) and provide you with an Obligations and Risk Register and a Training Register to help you manage your compliance obligations. We will maintain, monitor and track these registers and provide you with regular reports on open and closed actions. We will also provide, and maintain, a Compliance Manual tailored to your business (and relevant tailored Licensee Standards).

    description
    Open Details

    53%

    Advice Assurance Reviewsexpand_more

    A review considers issued advice (and supporting material) to assess the adviser\'s competency, conduct and compliance with the financial services laws.

    description
    Open Details

    53%

    Advice Assurance Review (Pre-vetting)expand_more

    A review considers advice (and supporting material) prior to issue to assess the adviser\'s competency, conduct and compliance with the financial services laws.

    description
    Open Details

    53%

    AFSL Health Checkexpand_more

    This high-level review of your compliance documents will assess whether, and to what extent, your current arrangements satisfy your legal obligations.

    description
    Open Details

    53%

    Licensee Reviewexpand_more

    Our Licensee Review will provide you with a methodical, objective and considered assessment of your compliance, risk management and governance arrangements (including your advice documents and processes) against internal requirements and your legal and professional obligations. This detailed review of your culture, resources, structure, model, compliance frameworks and governance arrangements not only considers whether, and to what extent, your current arrangements satisfy your legal obligations but, by addressing operational effectiveness, provides you with an objective analysis likely to reassure Regulators, Insurers and other stakeholders that your business operates "efficiently, honestly and fairly".

    description
    Open Details

    53%

    ACL Health Checkexpand_more

    This high-level review of your compliance documents will assess whether, and to what extent, your current arrangements satisfy your legal obligations.

    description
    Open Details

    53%

    License Application (Basic Needs)expand_more

    We will assist you to prepare and submit your AFSL/ACL application (including liaising with ASIC) and secure your AFSL/ACL. We will assist you to prepare the documentation you require including the relevant proofs, compliance framework and FSG (or equivalent). The cost excludes disbursements and statutory fees.

    description
    Open Details

    53%

    License Application (Standard Requirements)expand_more

    We will assist you to prepare and submit your AFSL/ACL application (including liaising with ASIC) and secure your AFSL/ACL. We will assist you to prepare the documentation you require including the relevant proofs, compliance framework, tailored compliance manual and FSG (or equivalent). The cost excludes disbursements and statutory fees.

    description
    Open Details

    53%

    License Application (Professional Requirements)expand_more

    We will assist you to prepare and submit your AFSL/ACL application (including liaising with ASIC) and secure your AFSL/ACL. We will assist you to prepare the documentation you require including the relevant proofs, compliance framework, tailored compliance manual (including relevant Licensee Standards) and regulated documents including the FSG, SoA template, Letter of Engagement, FDS or Consent. We will also assist you to obtain AFCA membership, secure PI and appoint an auditor. The cost excludes disbursements and statutory fees.

    description
    Open Details

    53%

    Responsible Manager Servicesexpand_more

    To assist you to develop, or maintain, organisational capacity (or satisfy regultory requirements) we can provide you with a Responsible Manager able to assume a significant role in your business for a pre-determined term. The proposed external Responsible Manager will be appointed subject to a formal service contract and no involvement in, or influence over, any other services we provide to you.

    description
    Open Details

    53%

    Due Diligence (Adviser)expand_more

    Prior to you appointing an adviser under your license, we will review a sample of their advice in accordance with our advice assurance process, to determine whether, and to what extent the adviser complies with the applicable laws and identify any process, advice or conduct issues that are, or suggest, significant issues. On the basis of our review, we will provide you with a formal recommendation and, if required, a detailed report.

    description
    Open Details

    53%

    Due Diligence (Practice)expand_more

    Prior to you appointing a corporate entity under your license, we will review a sample of the advice produced by their representatives in accordance with our advice assurance process, to determine whether, and to what extent the adviser complies with the applicable laws and identify and process or conduct issues that are, or suggest, significant issues. We will also consider the entity itself, its stucture, governance and promotional material. On the basis of our review, we will provide you with a formal recommendation and, if required, a detailed report.

    description
    Open Details

    53%

    Due Diligence (Reference Checking and Information Sharing)expand_more

    Prior to you appointing an adviser under your license, we will manage the reference checking and information sharing process required by the Refence Checking and Information Sharing Protocol. In addition to facilitating the bankruptcy and character checks, we will contact referees and former employers to provide an objective and arms-length review. On the basis of our review, we will provide you with a formal recommendation and, if required, a detailed report.

    description
    Open Details

    53%

    Presentationsexpand_more

    Use current text

    description
    Open Details

    53%

    Legal Servicesexpand_more

    As an integrated legal practice, we can provide you with a range of legal services including representation, formal advice or opinions on commercial or regulatory matters, draft and review contracts, initiate or respond to claims and actions, resolve disputes or provide complementary services subject to legal and professional privilege. Please be aware that the provision of legal services is subject to additional disclosure and additional requirements.

    description
    Open Details

    53%

    Compliance Manualexpand_more

    With your active involvement, we will develop, and maintain, a Compliance Manual tailored to the nature, scale and complexity of your business that will assist you, and your representatives, to understand and satisfy your obligations and comply with the applicable laws.

    description
    Open Details

    53%

    Licensee Standardsexpand_more

    With your active involvement, we will develop, and maintain, Licensee Standards (policies and procedures) relevant to the nature, scale and complexity of your business and tailored to your needs. These Guidelines will assist you, and your representatives, to understand how you satisfy your obligations and what practical steps are necessary to comply with the applicable laws.

    description
    Open Details

    53%

    Consultingexpand_more

    Strategic or specific advice on compliance or regulatory matters.

    description
    Open Details

    53%

    Dispute Resolutionexpand_more

    The expert team at Assured Support provides a variety of resources to help you find solutions, repair relationships, and assist you in the event that formal dispute resolution is unavoidable. Our multi-disciplinary approach and deep subject matter expertise, and our practical experience with ASIC guidance (including RG165 and RG271) mean that you'll be able to meet, or exceed, regulatory and consumer expectations.

    description
    Open Details

    53%

    Remediation Supportexpand_more

    Our resources, multi-disciplinary approach and deep subject matter expertise (combined with our practical experience with ASIC guidance (including RG256 and CP335)) mean that we are well placed to assist you to meet, or exceed, regulatory and consumer expectations for remediation programs.

    description
    Open Details

    53%

    Platform Developmentexpand_more

    Specific recoding/redevelopment of in accordance with your needs and instructions. Each project will be supported by a separate work order/project quote and will require internal approval before work proceeds.

    description
    Open Details

    53%

    Exclusive Live Eventsexpand_more

    Access to Assured Support live events that are held throughout the year.

    description
    Open Details

    53%

    Dedicated Account Managerexpand_more

    Dedicated Account Manager.

    description
    Open Details

    53%

    Chair Quarterly Meetingsexpand_more

    Assured Support will Chair your Quarterly Meetings.

    description
    Open Details
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