Annual Licence Reviews

The Annual Licence Review aims to provide you with the confidence that you're meeting your s912A obligations.

By doing a Licence Review annually, you're better equipped and informed for the coming year. This service is flexible depending on the size and nature of your business, but an Licence Review may cover the following areas:

  • Review of the current state of the AFSL with your relevant policies and behavioural compliance, in accordance with s912A of the Corporations Act.
  • Review of the your behavioural compliance and processes against regulatory requirements and your specific authorisations and conditions.
  • ASIC reporting and lodgements.
  • Compliance Program.
  • Responsible Managers.
  • Appointment and training of Representatives.
  • Monitoring and supervision of Representatives.
  • Breach management.
  • Risk management.
  • Conflicts of interest management.
  • Dispute resolution & PI Insurance.
  • Marketing collateral.
  • Third-party service providers.
  • Financial, IT & HR resource requirements.

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Looking for AFSL Compliance Support? We're ready to assist you. Start your partnership with Compliance Co. today and enjoy a dedicated compliance support team.

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