Agent Shield
Compliance Template
Compliance Deal Record
Record every conversation, disclosure, and compliance step — maintain a complete file for every transaction
1. Pre-Listing Compliance
- Title search checked — easements, covenants, caveats identified
- Written appraisal evidence — price range provided to vendor
- Agency Agreement signed — before any marketing or viewings
- REA Agency Guide — "Selling a Home" guide provided (date: ________)
- LLUR / LIM report ordered and reviewed
- Vendor disclosure checklist completed (chattels, known defects)
2. Disclosure & Advice Log
Record every disclosure, conversation, and piece of advice given. This is your evidence if a complaint arises.
3. Offer & Sale Process
- REA Sales & Purchase Guide provided to purchaser on ________
- Multi-offer situation confirmed → Multi-Offer Acknowledgement signed by all parties
- Form 1 — Commission / Rebates disclosed to all parties
- Form 2 — Conflict of Interest signed (if agent/family purchasing)
- s134 — Related party transaction declarations completed
- Buyer confirmed they have read and understood the Sale & Purchase Agreement
4. AML/CFT Verification
- Vendor ID & Proof of Address sighted and filed
- Purchaser ID & Proof of Address sighted (before unconditional)
- Source of Funds / Source of Wealth documented
- Enhanced Due Diligence (if applicable — trusts, overseas, PEPs)
- Trust account deposit receipt filed: $ ________
Every entry is date-stamped and saved. Voice notes transcribed automatically.