NCCP Compliance Monitoring and Management Systems
As a Licensee, you need NCCP compliance management systems in place that demonstrate how you are complying with your regulatory obligations. There is a lot more to compliance than just knowing that you comply.
QED Risk Services' systems are designed to probe you with the right questions about compliance, raise topics that you may not have thought of before and provide an overall compliance monitoring programme that demonstrates to ASIC that you are 100% NCCP compliant.
All our services involve information sharing with you about the topics that all our broker clients are talking about and what ASIC is doing in the industry. Industry bodies such as the MFAA consider our information sharing so important that they give it 8 CPD hours per year!
Our compliance monitoring systems involve interaction from you to ascertain how you have been performing against certain compliance obligations. Depending on your responses to our questions, we will provide you with an assessment of your business's compliance performance, complete with actions to take to get yourself back into a state of full compliance.
This monitoring can be done face-to-face with our expert consultants at a fee of $135 per broker per month; or through our online service, QED CompliFast at a flat fee of $57 per month.