Services

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We have a proven track record of providing high quality compliance services across both Government and private sector clients, undertaking Australia wide compliance reviews for AFSLs and ACLs, internally as consultants, and in our former capacity as Officers of the Australian Securities and Investments Commission.

Our experience has collectively spanned professional services firms Deloitte and Ernst & Young, ASIC, and most recently one of Australia’s largest private wealth firms.

Our exposure to the regulation and compliance of AFSL and ACL holders, and their Representatives around Australia, enables us to tailor an approach to suit the size and nature of your business.

Our services

Our services include, but are not limited to:

  • Retainer & ad hoc external compliance support
  • Responsible Manager & Key Person services
  • Independent Expert services
  • Representative Client file reviews
  • Advice template reviews
  • Internal policy document reviews
  • Annual Compliance reviews
  • Tailored training programs
  • Adviser competency assessments
  • AFS and AC Licence application and variation services