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.
- 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.