C.99 Compliance - Outsourcing

Robert Ward
May 13, 2018
1 min read

Outsourcing

Premium Broker Pty Limited allows outsourcing parts of your business that relate to the provision of credit activities. This relates to both Australian and overseas outsourcing.

If you outsource your functions you will still be responsible for complying with all of your compliance obligations in relation to those functions. Brokers should be extremely vigilant with client's privacy when dealing with outsourcing companies.

C.01 Compliance - Premium Broker

C.02 Compliance - Credit Guide

C.03 Compliance - Privacy

C.04 Compliance - Client's Identity

C.05a Compliance - Data Verification (Fact Find)

C.05 Compliance - Fact Find

C.06 Compliance - Assets

C.07 Compliance - Liabilities

C.08b Compliance - Living Expenses

C.08a Compliance - Dropbox & OneDrive

C.08 Compliance - BankStatements

C.09 Compliance - Objectives

C.09a Compliance - Preapproval to Formal

C.10 Compliance - Exit Plan

C.11 Compliance - Borrowing Capacity

C.12 Compliance - Funding Worksheet

C.13 Compliance - Security

C.14 Compliance - Commission

C.15 Compliance - Referrals

C.16 Compliance - Loan Recommendation

C.17 Compliance - Loan Scenario

C.18 Compliance - Refinancing Report

C.19 Compliance - Reverse Mortage

C.20 Compliance - Topup & Variations

C.21 Compliance - Advice Comments

C.22 Compliance - Forseeable Changes

C.23 Compliance - Verification

C.24 Compliance - Conflict of Interest

C25. Compliance - Creating Documents

C.26 Compliance - Preliminary Assessment

C.27 Compliance - Statement of Credit Assistance (SOCA)

C.28 Compliance - Broker's Notes

C.29 Compliance - 7 Green Ticks

C.30 Compliance - Settled Loan Process

C.31 Compliance - Checklist