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POLICIES

TAE Compliance Policies

The attached policies outline the guidelines/processes you are required to adopt as an Authorised Representative of The Advice Exchange. Your compliance to these policies will be reviewed by our Compliance Team at each Compliance Review/Audit.

  • ACL Responsible Lending & Best Interest Policy

  • Anti-Bribery and Corruption Policy

  • Anti-Money Laundering and Counter Terrorism Policy

  • Breach & Incidents Policy

  • Code of Ethics Policy

  • Complaints Handling Policy

  • Compliance Committee Charter

  • Compliance Policy

  • Conflicts of Interest Policy

  • Corporate Governance Framework

  • Consequence Management Policy

  • Continuing Professional Development and Training Policy

  • Cyber Security and Information Technology Policy

    Cyber Security Support Guide

  • Data Breach Reporting Policy

  • Digital, Electronic Storage and Social Media Policy

  • Education Policy

  • Exchange Traded Funds (ETF) Policy

  • Exit Procedure Policy

  • Fee Disclosure & Annual Consent Policy

  • Financial Advice Framework

  • Gearing and Margin Policy

  • Limited Recourse Borrowing Arrangement (LRBA) Policy

  • Monitoring and Supervision Policy

  • Non-APL Policy

  • Organisational Competence Policy

  • Outsourcing Policy

  • Overseas Client Policy - Acknowledgement Letter

  • Privacy Policy

  • Professional Year Policy, Plan & Register

  • Recruitment Policy

  • Research Policy

  • Risk Management Plan & Risk Assessment Matrix

  • Self- Managed Super Fund Policy

  • Sophisticated Investor Policy - Sophisticated Investor Pack

  • Whistleblower Policy

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The Advice Exchange
10 Yarra Street,
South Yarra, VIC, 3141,
Australia
03 9823 1344 info@adviceexchange.com.au
Hours
Mon 9am - 5pm
Tue 9am - 5pm
Wed 9am - 5pm
Thu 9am - 5pm
Fri 9am - 5pm
Sat Closed
Sun Closed
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