Meeting Details

Quarter Ending

Year

Attendees

Justin Ryan (Key Person / Responsible Manager)

Kristin Roberts (Chief of Staff)

Dominic Tayco (Compliance Convenor)

Thomas Sienkiewicz (Observer, Compliance)

Ricky (Hritwik) Singh (Observer, Financial Control)

Ellie Wong (Observer, Financial Control)

Dr Darren Conlon (Compliance)

April Huang (Observer, Compliance)

Agenda Items

Legal, Regulatory and Compliance Matters

Compliance Strategy

Business Updates

Incidents + Breaches

Financial Assets

Financial Compliance Details

AFSL Financial Requirements Status

Net Tangible Assets (NTA) Test

Cash & Cash Equivalents Test

Glow Financial Services - NTA Amount ($)

Glow Investment Managers - NTA Amount ($)

12-Month Cash Flow Forecast Status

Financial Audit Status

Solvency Declaration

People Assets

Information Assets

Risk Management

Compliance Registers

Entity Register

Entity Structure Changes

Contract Register

New Contracts This Quarter

Contract Renewals/Expirations

Policy & Procedure Register

Policy Updates Required

Policy Review Status

Regulatory Obligations Register

Regulatory Filings Status

New Regulatory Requirements

Training Register

Training Completed This Quarter

Training Due/Overdue

Breach & Incident Register

Current Breach Status

Incident Details (if applicable)

Service Provider Register

Service Provider Reviews

Service Provider Issues

Compliance Committee Meeting

❑ Glow Financial Services Pty Ltd (AFS Licence No. 535001)
❑ Glow Investment Managers Pty Ltd (AFS Licence No. 535002)

Glow Compliance Committee Agenda Generator

Meeting Details

Attendees

Agenda Items

Financial Compliance Details

Compliance Registers

Entity Register

Contract Register

Policy & Procedure Register

Regulatory Obligations Register

Training Register

Breach & Incident Register

Service Provider Register

Saved Agendas

Compliance Committee Meeting

Glow Compliance System

Glow Compliance Committee Agenda Generator

Meeting Details

Attendees

Agenda Items

Financial Compliance Details

Compliance Registers

Entity Register

Contract Register

Policy & Procedure Register

Regulatory Obligations Register

Training Register

Breach & Incident Register

Service Provider Register

Saved Agendas

Compliance Committee Meeting