Compliance

13 articles

AML/CTF Policy

AML/CTF Policy. (click to download PDF)

Updated by Caroline Pollard

Advertising Guidelines

Advertising Guidelines. (Click to download PDF) MLB Marketing and Advertising Guidelines. (Click to download PDF)

Updated by Caroline Pollard

BID Chief Integration and Compliance

BID Chief Integration and Compliance. Presentation from Chief How To Webinar - Compliance and New BID Features 17th Nov 2020

Updated by Caroline Pollard

BID Guidance (RG 273)

BID Guidance (RG 273). (click to download PDF)

Updated by Caroline Pollard

BID Policy

MLB BID Policy (click link to download PDF)

Updated by Caroline Pollard

BID Quick Reference Guide

MLB BID Quick Reference Guide (click link to download PDF)

Updated by Caroline Pollard

Competent Assessment of Loan Files

Credit Guide and Privacy:. Completed, signed and dated copy of the MLB Credit Guide and Privacy Disclosure Statement document. The Credit Guide must be provided before you provide any credit assistan…

Updated by Todd Disney

Deposit Bonds

Deposit Bonds Compliance. Best Interests Duty (BID) Even for deposit bonds, brokers must: Act in the best interests of the client , not the provider. Clearly document why a deposit bond is suitable f…

Updated by Caroline Pollard

Lists of tasks for each loan stage

Enquiry. Tasks : 1. Create new Lead in Chief 2. Schedule Meeting 3. Send meeting confirmation email and send link to client portal & bankstatements link 4. Add Referral Connection if applicable 5. Ri…

Updated by Todd Disney

MLB Member Handbook

MLB Member Handbook - this outlines our guidelines and your obligations as a member/broker of My Local Broker (click link to download)

Updated by Caroline Pollard

NCCP - Loan Processing / Support Staff

What does the NCCP say about who can have financial discussions with a client?. Under the NCCP, the following information is clearly set out regarding which people are authorised to have financial di…

Updated by Caroline Pollard

Responsible Lending Changes and BID part 1

Key points from SFG Compliance webinar Wed 14th and Thurs 15th Oct 2020 Responsible Lending Changes. Changes will be made 1st Mar 2021, until then RL obligations remain the same. From 1st Jan 2021, R…

Updated by Caroline Pollard

Risk Protection

Risk Protection Guidelines (Click to download.PDF)

Updated by Caroline Pollard