Depending on responses provided in forms there may be additional CCX360 Broker Forms generated. These forms will appear on your “To Do’ list widget on your Dashboard.


The following outlines what forms will be generated based on the responses.


Staff Declaration

The following forms are generated from the Staff Declaration Form if any response is:

“They have not been reported – I will complete the relevant form that will be generated and placed in my ‘To Do’ List on submission of this form”.

Form Generated
Trigger
Professional Indemnity Form
Have there been any errors and omissions which may give rise to a claim being made against the AFS Licensee, or any of its directors, employees or representatives, by a client or any other party with whom we transact business?
Complaint Form
Have there been any circumstances where a complaint has been, or is likely to be made against you?
Conflict of Interest Form
Have there been any potential conflicts of interest in your dealings with a client?
Incident/Breach Form
Have there been any incidents or breaches you have become aware of?
Significant Dealing Notification (PDDO)
Have there been any Significant Dealing Notifications (PDDO) outside the Target Market to be reported?
CPD Notification Form
Have you completed any Continuing Professional Development (CPD)? 



Complaint Form

With the Complaint Form, depending on certain responses, the following forms may be generated based on these responses or timeframes.

These forms will appear on your 'To Do' list on your Dashboard.

Form Generated
Trigger
Significant Dealing Notification (PDDO) Form
A Significant Dealing Notification (PDDO) Form will be generated when completing the 'What is the issue raised?' question:
  •  if you choose 'Financial firm decision - Insurance coverage term (includes product design) then additional questions will appear; and 
  • if you answer 'Yes" to "Is a significant dealing outside the target market?"
For any questions regarding clarification around significant Dealing Notification (PDDO) or Target Market Determination (TMD) for a product, please contact the Gold Seal Team.
Incident/Breach Form
An Incident / Breach Form is generated under two conditions:
  1. When completing the "Is this a potential incident / breach?' question and you choose "Yes" an Incident / Breach Form will be automatically generated and placed in your To Do list for immediate completion.
  2. If a complaint is not resolved with a prepared and sent response to the client in relation to their dispute within 21 days (and a maximum of 30 days of receipt from the initial complaint).



Monitoring & Supervision Form

When completing the Monitoring & Supervision Form depending on certain responses an Incident / Breach Form may be generated based on responses or timeframes.

Form Generated
Trigger
Incident/Breach Form
  • If you have chosen to use one of the following activities ticked AND your result is a Non-satisfactory outcome, you will be asked whether the details of your activity/ies are a licence breach.
  • If you choose 'Yes', an Incident / Breach Form will be automatically generated and placed in your To Do list for immediate completion.


Related Forms

The form that generates the additional forms as a result of a response to a question can be viewed by opening the generated form and:

  1. Clicking on the 'Associations' tab which will show the 'Related Forms'.
  2. Click on the form you wish to view and the form will display.