Mission Control Menu Listing
Changes in Documentation / MSM Documentation Update RegisterLink to MSM Mission Control Website / MSM Mission Control Link
For Installation Problems or Advice / MSM Contact Details
By Area of Business
Complaints / ComplianceConflict Of Interest / Credit
External Representatives / Financial
Employment / Workplace Health & Safety
Operational / Organisation
Planning / Privacy
Information Technology / Risk Management
Training
By Type of Document
Example / ResourcePolicy / Template
By Category/Author of Document
ASIC / Australian StandardsCodes / Standards / Law
MSM / Other
Copyright Notice Terms of Trade
Mission Control Main Menu
Conflict Of Interest
Template / Conflict of Interest Identification Table Template - ExcelTemplate / 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 RegulationsResource / National Consumer Credit Protection Act
Resource / RG202 - Credit Registration and Transition
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
Template / Complaint Register Template - WordTemplate / Complaint Register Template - Excel
Example / Complaint Response Sample
Resource / Complaint Brochure
Template / Complaints Form
Resource / Complaints Overview
Policy / Complaints Policy and Procedures
Resource / FOS Brochure
Resource / FOS Terms of Reference
Template / P.I. Assessment Tool
Resource / RG126 - Compensation & Insurance.
Resource / RG165 - Internal and External Dispute Resolution
Mission Control Main Menu
Compliance
Resource / Anti Money Laundering OverviewResource / AS 3806-2006 Compliance Standard,
Template / ASIC FS80 (Breach Reporting)
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 / Insurance Broker Code Compliance Committee Report 2014-15
Resource / Responsible Manager - Compliance Officer Training
Resource / RG78 - Breach Reporting By AFS Licensees
Mission Control Main Menu
Employment
Template / Applicant Consent FormTemplate / Applicant Direction Form
Template / Applicant Reference Guide
Template / Application For Employment
Template / Appraisal & Development Form
Resource / Banking Finance and Insurance Award 2010
Resource / Banking Finance and Insurance Award 2010 Pay Guide
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 / 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 AgreementTemplate / Authorised Representative Agreement Template
Template / Authorised Representative Application Form
Template / CAR Agreement Template
Resource / Class Order - Group Purchasing Bodies CO 08-1
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
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 FS70Template / 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 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 ProceduresResource / NSW Workplace Surveillance Act Guidelines
Template / Spam Wording Template
Mission Control Main Menu
W H & S
Policy / WH&S Policy and Procedures
Mission Control Main Menu
Operational
Template / Approved Product Listing TemplateResource / APRA Data Collection Explanatory Note
Resource / APRA Form 701
Resource / APRA Instruction Guide - Form 701
Resource / ASIC Act 2001
Template / Banned Product Listing Template
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 - FSG Time Critical CO 12-417
Resource / Class Order - PDS Requirements - General Insurance Quote CO 11-842
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
Resource / FSG (Licensee) Template
Resource / Future of Financial Advice Overview
Resource / General Insurance Code of Practice Overview
Resource / General Advice Warning Sample
Resource / General Insurance Code of Practice 2014
Resource / General Insurance Code of Practice 2014 - FOS Guidance Paper
Resource / Important Notices Template
Resource / Insurance Act 1973
Resource / Insurance Brokers Code of Practice
Template / Insurance Brokers Code of Practice - Application
Resource / Insurance Brokers Code of Practice Overview
Resource / Insurance Contracts Act 1984
Resource / Insurance Contracts Act Change June 14 Overview
Resource / Insurance Contracts Act Regulations (1985)
Resource / Insurance Regulations 2002
Template / Insured Risk Checklist
Template / Insurer Incentive Scheme Disclosure Sample
Resource / Legislative Instrument - General Advice Warning 2015 540
Resource / Legislative Instrument - Facilitating Electronic Delivery of Financial Services Disclosure 2015-647.pdf
Resource / Legislative Instrument Life Insurance Commissions 2017 510
Resource / Legislative Instrument Removing Barriers To Electronic Delivery 2015 649
Resource / Lloyd’s GST Guidance Ref Y5099
Resource / Marine Insurance Act 1909
Example / Oral Disclosure Script Template
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 / RG245 - Fee Disclosure Statements
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
Resource / UFI Notice
Template / UFI Placement Checklist
Resource / Wholesale Broker Agreement Template
Mission Control Main Menu
Organisation
Template / Broking Software Supplier Position Description SampleTemplate / 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 TemplateTemplate / 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 Act – Notifiable Data Breaches Amendment
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
Resource / AS NZS 4360-2004 Risk ManagementTemplate / 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 TermsResource / 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 AppointmentOperational / 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 ProceduresComplaints / 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
Financial / Financial Policy and Procedures
Organisation / Human Resources Statement
Information Technology / Information Technology Policy and Procedures
Organisation / Monitoring and Supervision of Representatives Plan
W.H & S / WH&S Policy and Procedures
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
Mission Control Main Menu
Resource
Compliance / Anti Money Laundering OverviewOperational / APRA Data Collection Explanatory Note
Operational / APRA Form 701
Operational / APRA Instruction Guide - Form 701
Compliance / AS 3806-2006 Compliance Standard,
Risk Management / AS NZS 4360-2004 Risk Management
Operational / ASIC Act 2001
Financial / Audit and Review Requirements for AFS Licensees - GS003
Privacy / Australian Privacy Principles (APP)
Employment / Banking Finance and Insurance Award 2010
Employment / Banking Finance and Insurance Award 2010 Pay Guide
Operational / Class Order - FSG Time Critical CO 12-417
External Representatives / Class Order - Group Purchasing Bodies CO 08-1
Operational / Class Order - PDS Requirements - General Insurance Quote CO 11-842
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 Overview
Complaints / FOS Brochure
Complaints / FOS Terms of Reference
Operational / Future of Financial Advice Overview
Operational / Insurance Contracts Act Change June 14 Overview
Operational / General Insurance Code of Practice 2014.
Operational / General Insurance Code of Practice 2014 - FOS Guidance Paper.
Operational / General Insurance Code of Practice Overview
Training / Glossary of Insurance Terms
Privacy / Guide To Handling Personal Information Breaches
Operational / Insurance Act 1973
Compliance / Insurance Broker Code Compliance Committee Report 2014-15
Operational / Insurance Brokers Code of Practice
Operational / Insurance Brokers Code of Practice Overview
Operational / Insurance Contracts Act Regulations (1985)
Operational / Insurance Regulations 2002
Operational / Insurance Contracts Act 1984
Training / Knowledge Base
External Representatives / Legislative Instrument - Basic Deposit and General Insurance Distribution 2015 682
Operational / Legislative Instrument - Facilitating Electronic Delivery of Financial Services Disclosure 2015-647.pdf
Operational / Legislative Instrument - General Advice Warning 2015 540
Operational / Legislative Instrument Life Insurance Commissions 2017 510
Operational / Legislative Instrument Removing Barriers To Electronic Delivery 2015 649
Operational / Lloyd’s GST Guidance Ref Y5099
Operational / Marine Insurance Act 1909
Employment / Motor Vehicle Policy & Agreement
Credit / National Consumer Credit Protection Act
Privacy / Notifiable Data Breach Overview
Resource / NSW Workplace Surveillance Act Guidelines
Organisation / Outsourcing Overview
Financial / Payment Card Industry Data Security Standard (PCI DSS)
Privacy / Privacy Act
Privacy / Privacy Act – Notifiable Data Breaches Amendment
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 / RG202 - Credit Registration and Transition
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 / RG245 - Fee Disclosure Statements
Operational / RG246 - Conflicted Remuneration
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