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Frequently Asked Questions about Credit Licensing and NCCP Compliance

What is Compliance?

FAQsLiam Brown

What is Compliance?

Compliance by definition is "conformity in fulfilling official requirements". Brokers are well aware of the existence of the regulations set through legislation and the ASIC exist, and they understand that they must be compliant with them. However, It ...

What is a compliance management framework?

FAQsGreg Ashe

What is a compliance management framework?

Compliance is a business management discipline, just like Marketing, Accounting, Human Resources or any other. How do you demonstrate that you have a framework in place that shows your business's compliance?

Privacy Law Changes - Frequently Asked Questions

FAQsLiam Brown

Privacy Law Changes - Frequently Asked Questions

Do the Privacy Law changes affect Mortgage brokers?

Almost definitely! If you are acting as an agent for a lender to collect personal information such as ID, then you are required to follow.

Even more specifically, though - in the introducer agre...

Using electronic signatures for NCCP documents

FAQsKathy Ashe

Using electronic signatures for NCCP documents

QED Risk Services had several enquiries recently from brokers about using electronic signatures, in particular DocuSign, for NCCP documents and loan documents*.

The Electronic Transactions Act that was passed in 2000 in Australia, establishes the ge...

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