Compliance document templates
Compliance documents This folder contains records that prove adherence to laws, regulations, and industry standards. Click on the name of the document you’d like to access. Broker Complaints Register Finance Ineligibility Letter (unbranded) Gifts and Hospitality Register Template – MQG Referrer Register Template – Inbound Request to Use a Non-Approved Supplier – Template
Compliance guides
Compliance guides This folder contains helpful guides to assist you to meet your compliance obligations Click on the name of the document you’d like to access. BID Wording Examples – Nov 2023 Client File Note Record (unbranded) – April 2024 Unbranded Third Party Referral Form Credit Quote – BC ACL (unbranded) Privacy Policy – BC […]
Compliance Registers
Compliance Registers This folder contains the template compliance registers required by each credit representative. They can also be found in your Complifast platform Click on the name of the document you’d like to access. BCL Back Up Log BCL Broker Benefit Register BCL Complaints Register BCL CPD Register Excel format BCL CPD Register BCL Referrer […]
