Firms providing financial products and services in Australia generally require an Australian Financial Services Licence (AFSL).
Policies and procedures drafting
Coverage typically spans:
- Appointment, training and termination protocols
- Conflict of interest oversight
- Breach management and reporting
- Risk management frameworks
- Promotional material compliance
- Staff trading policies
- Dispute resolution procedures
- Outsourcing arrangements
- Register maintenance
Ongoing compliance
We can design and deliver an AFSL compliance solution tailored to your needs.
External compliance review
A “health check” for the organisation — policy evaluation and implementation testing.
Responsible Managers
A Responsible Manager is a person who satisfies the knowledge and skills requirements under RG 105 to maintain the authorisation(s) granted.