Members Registers and Marketing Audit Checklist for Brokers

Maintaining accurate registers and marketing compliance is crucial for brokers. Use this checklist to ensure your brokerage adheres to Oxcel Pty Ltd’s compliance requirements.

Ensure the following details are clearly documented:

Verify and confirm the following compliance items:

✅ Complaints Register – Ensure a completed complaints register is supplied.

✅ Breach Register (Data Breaches) – Maintain and supply a current breach register documenting any data breaches.

✅ Conflicts of Interest Register – Maintain and submit an up-to-date register detailing all conflicts of interest.

✅ Soft Dollar Register – Record and provide details of non-monetary incentives received.

✅ Referrer Register – Keep a current register of all referrers, ensuring each entry is detailed and accurate.

✅ Signed Referrer Agreements – Confirm you have valid, signed agreements with each referrer listed.

✅ Referrer Onboarding – Ensure referrers are onboarded according to Oxcel’s guidelines (as detailed in the “Referrer Requirements” and “How to Set Up Your Own Referrers” documents).

✅ Referrer Marketing Compliance – Regularly review referrers' websites, social media, and marketing materials to verify required disclaimers and advertising guidelines are being met.

✅ Website and Facebook Page – Confirm website and Facebook URLs are correctly entered and accurate.

✅ Business Card and Email Signature – Attach current versions of your business card and professional email signature.

✅ Policies and Guides Attestation – Provide a completed and signed copy of the Policies and Guides Attestation document.

✅ Self-created Marketing Material – Supply copies of all marketing materials you have independently created.

For support or further compliance guidance:

📧 Email: [email protected]
📞 Phone: 1800 010 001
🌐 Oxcel Member Compliance Portal

Regularly following this checklist ensures consistent compliance and simplifies audits and regulatory reviews.