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RE Services

AFSL COMPLIANCE SUPPORT

"Risk mitigation through effective external compliance confirmation"

Australian financial services licensees have a general obligation to provide efficient, honest and fair financial services in compliance with the conditions of their specific AFS licence and the Corporations Act 2001.

Consistently meet your regulatory and legislative obligations, on time, every time.​

Our service is designed to satisfy ASF licensees obligations in relation to:

  • conduct and disclosure

  • the provision of your financial services

  • the competence, knowledge and skills of your responsible managers

  • the training and competence of your financial advisers and authorised representatives

  • ensuring your financial advisers and authorised representatives to comply with the financial services laws

  • compliance, managing conflicts of interest and risk management

  • the adequacy of your financial, technological and human resources, and

  • your dispute resolution and compensation arrangements (if your clients include retail clients)

  • risk and conflict management systems.

Obligation Free Consult

Thanks for submitting! We will contact you as soon as practical.

Our service is available on an ad-hoc or ongoing basis

Having worked with a range of clients nationally, our team have built a reputation for excellence built on a philosophy that encompass values such as:

  • Cost-effective, practical, high-quality services.

  • Quality, timely information and advice.

  • Remaining truly independent.

  • Direct regulator experience.

If you would like to know more about our services please contact us

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