We provide AFSL holders support with their Risk, Compliance and Governance needs.
Our team comprises of experienced consultants who have held national roles managing and running Australian Financial Services Licenses including Responsible Manager roles for several AFSL’s. We have had direct involvement in liaising with ASIC on a range of regulatory guides ranging from Fintech to Compliance.
Our expertise and services include:
- Conducting targeted file reviews.
- Running or supporting remediation projects.
- General Licensee management, such as; Complaints handling, Developing and reviewing policies and procedures, Risk management framework and Reviewing templates and procedures.
We pride ourselves on working collaboratively with each business.