Simulated workplace
Controlled documents
Document library
Controlled policies, procedures, forms, templates, registers and plans. Forms and templates can be completed on screen and printed.
| Code | Document | Type | Owner | Version | Next review |
|---|---|---|---|---|---|
| LNL-POL-001 | Privacy and Information Security Policy This policy sets out how Ledger and Lane collects, uses, stores and protects the personal and financial information of c | Policy | Compliance Manager | 3.4 | 12 February 2027 |
| LNL-POL-002 | Anti-Money Laundering and Counter-Terrorism Financing Policy This policy sets out the firm's program for identifying clients, assessing money laundering and terrorism financing risk | Policy | Compliance Manager | 2.6 | 20 March 2027 |
| LNL-POL-003 | Responsible Lending and Best Interests Policy This policy sets the standards brokers and credit analysts must meet when assisting a consumer with credit, so that ever | Policy | Head of Broking | 2.2 | 8 January 2027 |
| LNL-POL-004 | Complaints Handling and Internal Dispute Resolution Policy This policy sets out how the firm receives, records, investigates and resolves complaints from clients and others so tha | Policy | Compliance Manager | 3.0 | 4 November 2026 |
| LNL-PRO-001 | Activity Statement Preparation and Lodgement Procedure This procedure sets the steps and checks for preparing, reviewing and lodging business activity statements and instalmen | Procedure | Tax Manager | 3.3 | 16 March 2027 |
| LNL-PRO-002 | Month-End Bookkeeping Procedure This procedure sets the sequence and standards for closing each client's books at month end so that reports are accurate | Procedure | Bookkeeping Manager | 2.7 | 2 February 2027 |
| LNL-PRO-003 | Loan Application Procedure This procedure sets the steps from first client contact to settlement for every loan the firm assists with, so that each | Procedure | Head of Broking | 2.9 | 8 January 2027 |
| LNL-PRO-004 | Insurance Claims Handling Procedure This procedure sets how the firm lodges, manages and negotiates insurance claims on behalf of clients so that claims are | Procedure | Insurance Broking Manager | 2.1 | 25 February 2027 |
| LNL-FRM-001 | Client Onboarding and Identification Form Client services staff complete this form with every new client to collect the details the firm needs, verify identity, r | Form | Compliance Manager | 2.4 | 20 March 2027 |
| LNL-FRM-002 | Complaint Record Form Any staff member who receives a complaint completes this form on the day so that the complaint is recorded, acknowledged | Form | Compliance Manager | 1.8 | 4 November 2026 |
| LNL-TPL-001 | Engagement Letter Template Staff use this template to set out in writing the services the firm will provide, the responsibilities of the client and | Template | Managing Director | 3.2 | 15 January 2027 |
| LNL-TPL-002 | Needs Analysis and Preliminary Assessment Template Brokers and credit analysts use this template to record the client's requirements and objectives, verified financial pos | Template | Head of Broking | 2.5 | 8 January 2027 |
| LNL-REG-001 | Conflicts of Interest and Gifts Register This register records every actual, potential or perceived conflict of interest declared by staff and every gift or bene | Register | Compliance Manager | 2.0 | 15 January 2027 |
| LNL-PLN-001 | Business Continuity and Cyber Incident Plan This plan sets out how the firm keeps serving clients and meeting lodgement and payroll deadlines during a disruption, a | Plan | Managing Director | 2.3 | 30 April 2027 |