Record non-cash benefits and conflicts
Use the Non-Cash Benefits Register to record benefits received and the Conflicts Register to document conflicts, their impact and the selected remedy.
Who can make changes
Adviser, Full Access and Compliance Manager users can create and maintain these records, subject to account access. For Adviser users without a management role, the form uses their own adviser details.
Full Access or Compliance Manager is required to add comments to a conflict record. Email adviser requires the Compliance Manager role.
Record a non-cash benefit
From the left menu, select Non-Cash Benefits Register, then Add Non-Cash Benefit.
Confirm Adviser and enter Amount, Benefit, Date given and Given by. Amount cannot be negative and is displayed in Australian dollars.
Add any Supporting documents, review the details and click Create.
Find the saved record using search and open View details to review and download its documents. Use Edit to update the details or add files, then click Save changes. Newly selected files are added to the existing documents.
Record a conflict
Select Conflicts Register, then Add Conflict.
Enter Implementation date. Add Client name where relevant and confirm Adviser.
Describe the issue in Conflict details and explain its Impact.
Choose Remedy type: Control, Avoid or Disclose. Use Remedy details to record the intended action, then click Create.
When adding a client, type at least two characters and select the correct search result. Choose Create new client only if a new client profile is needed.
Check reports and notifications
Both creation workflows require a complete adviser practice assignment and a compliance-manager email address. They generate a PDF report and attempt to notify the compliance manager. The conflict workflow also downloads the generated report after the record is created.
Check the confirmation and the saved record. If a message says the record was created but the notification failed, check the existing entry before starting again.
Follow up a conflict
Open View details to review the conflict report. Add evidence with Add supporting documents and Upload documents. Register uploads accept PDF, DOC, DOCX, JPG, JPEG and PNG files, up to 50 MB per file.
Management users can use Add comment to record progress. Compliance Managers can use Email adviser beside Comments; check recipients, body, subject and chosen attachments before sending. Update the record through Edit and Save changes as the details change.
Record the facts and your licensee’s selected response. These forms support recordkeeping; use your licensee’s process to decide how a benefit or conflict should be handled.