Compliance

We establish a comprehensive AFSL and ACL compliance framework working with you, including compliance manuals, policies, risk management systems and registers for a ‘whole of system’ view.

We provide:

• Compliance Plan and Framework: Provision of a turnkey system for compliance with licensing and related financial services laws including AML/CTF and Privacy.
• Ongoing Compliance Support:
  • Quarterly compliance reviews
  • Attending compliance committee meetings
  • Monitoring and supervision of representatives
  • Oversight on disclosures and disclaimers
• Independent reviews of compliance with AFSL, ACL and other financial service law requirements.
• Regular updates on regulatory requirements through an informative quarterly newsletter.