QNA Consulting has a comprehensive library of policies as required by an AFS Licence. The individual policies cover:
- Anti-Money Laundering and Counter Terrorism Financing Program;
- Compliance Program and Compliance Plan;
- Conflict of Interest Policy;
- Dispute Resolution Policy;
- Financial Resources Policy;
- Organisational Competence Policy;
- Outsourcing Policy;
- Representatives and Human Resources Policy;
- CPD Policy;
- Research Policy;
- Risk Management Policy;
- IT Resources Policy and Disaster Recovery Plan; and
- Privacy Policy.
All policies are supported by procedural documentation including Registers, checklist and forms as relevant to the specific policy.
Policies from the Policy Library can be purchased as templates (individual or packaged) or customised to suit client needs, ready for review and implementation. QNA Consulting can provide practical guidance and training to relevant staff to assist in this process.
Further information on each policy and their required use is available by contacting QNA Consulting.