Compliance

(02) 9042 5533

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Quick Enquiry

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Service of Interest

A comprehensive range of compliance and governance services.

With our Virtual and Engaged services you will have access to:

  • Industry compliance. Licensee ompliance framework templates and policies for you to customise. Regulatory updates and analysis.
  • Compliance manual, including policy and procedures. This templated document provides your AFSL with the basis for its compliance policy and procedures and is regularly updated when legislative change requires.
  • Compliance checklists and register templates – including templated checklists for Responsible Managers, process, advice parameters, AFSL requirements, and more.
  • Access to AFSL Audit – We can assist you with accessing an external quality auditor to undertake any AFSL auditing requirements.
With our Comprehensive service you will have access to the above and in addition:
  • 6 file audits per year

Our Services

Online access

For self-licencees seeking a virtual community connecting your AFSL online to valuable tools and resources.

Governance & Compliance

Compliance support at an adviser and AFSL level to assist you to meet your licence requirements.

Additional Services

A range of additional services available to enable you to tailor our service to meet your evolving support requirements.

Training & Education

Access to a comprehensive range of professional development opportunities, including conferences, online and face-to-face learning.

AFSL Application

An end-to-end AFSL application service, including liaising with ASIC, to get you started in your own AFSL.

Partnership Program

A program which provides partners with exclusive benefits, access to discounts and an expertise hub to connect you to the services you need.