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RF - Module 5: Client Management and Resources

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Contents

Unit 11: Become a Full Service Finance Consultant to Your Client

1. Introduction
2. How to Keep Your Client Sticky
2.1. Regular Communication
2.2. Personalised Service
2.3. Value-Added Services
3. Ongoing Professional Development
3.1. Stay Current with Industry Trends
3.2. Expand Your Skill Set
3.3. Embrace Technology
3.4. Cultivate Soft Skills
4. Mandates that Work
4.1. Comprehensive Financial Review
4.2. Automated Alert Systems
4.3. Ongoing Monitoring and Reporting
4.4. Long-Term Financial Planning
5. Full-Service Consultant Checklist
6. Wrap Up

Unit 12: Broker Responsibilities – Best Practice

1. Introduction
2. AML/CTF Obligations for Brokers
2.1. Understanding the AML/CTF Act
3. Your Key AML/CTF Obligations
4. Protecting Client Information
5. Ongoing Compliance
6. Know Your Customer (KYC) Obligations for Brokers
6.1. Formal Definition under the Australian Banking Code of Practice
7. Comprehensive Know Your Customer (KYC) Guide for Brokers
7.1. Purpose of KYC
7.2. Scope of KYC
7.3. KYC Components
7.4. Required Information
7.5. Verification Methods
7.6. Risk-Based Approach
7.7. Record Keeping
7.8. Privacy Considerations
7.9. Technology in KYC
7.10. Ongoing Monitoring
7.11. Regulatory Framework
7.12. Consequences of Non-Compliance
8. Financial Abuse: A Comprehensive Guide for Brokers
8.1. Understanding Financial Abuse
8.1.1. Relevant Australian Laws and Regulations
8.1.2. Broker Responsibilities
8.1.3. Identifying Financial Abuse
8.1.4. Best Practices for Brokers
8.1.5. Responding to Suspected Financial Abuse
8.1.6. Protecting Yourself and Your Business
9. Responsible Lending: A Guide for Australian Brokers
9.1. Understanding Responsible Lending in the Australian Context
9.2. Regulatory Background and Industry Standards
9.3. National Consumer Credit Protection Act 2009 (NCCP Act)
9.4. Australian Banking Code of Practice
9.5. Broker Obligations in Responsible Lending
9.6. Best Practices for Responsible Commercial Lending
9.7. Staying Current with Regulations and Policies
10. Fraud Identification of Client Data for Australian Brokers
10.1. Importance of Fraud Vigilance
10.2. Emerging Cyber Fraud (2025)
10.3. Fraud Identification Techniques
10.4. Best Practices for Australian Brokers
11. Redaction of TFNs
12. Wrap-Up
12.1. Summary Checklist

Unit 13: Privacy Consent, Credit Scores and Instant NOs

1. Privacy Consent Forms for Australian Brokers
1.1. Introduction
1.2. The Necessity of Privacy Consent Forms
2. Legal and Regulatory Framework
2.1. Key Legislation
2.2. Industry Codes
3. Reasons for Requiring Signed Privacy Consent Forms
3.1. Legal Compliance
3.2. Transparency and Trust
3.3. Risk Management
3.4. Customised Services
3.5. Accountability and Documentation
3.6. Credit Reporting
4. Best Practices for Privacy Consent Forms
4.1. Summary
5. Credit Reports
6. Understanding ASIC Structure of Companies and Directors
6.1. Other Business Structures
6.1.1. Partnerships
6.1.2. Trusts
7. What is Phoenix Activity & Why is it Important to Identify
7.1. Instant NO Checklist
8. Sanity check - Google, Social Media
9. Wrap Up