DEVELOPING INNOVATIVE STRATEGIES
Compliance Services
Ongoing Compliance
Compliance support, assistance with policies and templates, reporting, advice on business practices and compliance systems.
Compliance Committee Meetings
Regular compliance committee meetings to assist you with your licensee obligations and reporting.
File Reviews
File Reviews, File Audits, Adviser Reviews. Ongoing monitoring to assess files and SOAs for regulatory compliance and quality.
CPD and Training
Customised CPD and development of inhouse training. Training designed to cover compliance and regulatory issues. Workshop style to address real questions and issues in your business.
ABOUT US
We provide compliance support to holders of an Australian Financial Services Licence (AFSL). Our goal is to simplify procedures, reduce stress associated with compliance and to offer support for your business.
File Reviews, Policy Reviews, Licensee Reviews, assistance with reporting, management of registers and manuals, AFSL obligations, advice and support.