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Posts by Matthew Farley

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About Matthew Farley
Matthew Farley is a Compliance Consultant who partners with Australian Financial Services to provide ongoing support and coaching on their Legislative and Regulatory requirements when running an AFSL. After spending nearly, a decade working in financial planning, in 2010, Matthew transitioned into an AFSL compliance role and quickly developed an aptitude for risk management frameworks and risk management coaching. Matthew has managed the development and redevelopment of risk frameworks and has built a strong working knowledge of the compliance of AFSLs. As someone who has sat in front of clients, Matthew knows that compliance needs to be both practical and commercial whilst still meeting the myriad of Legislative and Regulatory requirements. In addition to his compliance consulting, Matthew has previously been a Responsible Manager on various AFSLs. Matthew holds numerous educational qualifications including a Master of Financial Planning from Kaplan.
Your obligations relating to cybersecurity

Your obligations relating to cybersecurity

Posted by By Matthew Farley July 27, 2022Posted inAFSL Compliance, Risk Management, UncategorizedNo Comments
Recently, the Federal Court considered the cybersecurity obligations of AFSLs and their authorised representatives. Currently, under s912A of the Corporations Act 2001 (Corps Act), an AFSL has certain core obligations.…
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Licensing Fees – Are you receiving service?

Licensing Fees – Are you receiving service?

Posted by By Matthew Farley July 7, 2022Posted inAFSL Compliance, Risk ManagementNo Comments
We all know that one of the findings of the Royal Commission into Misconduct in the Banking, Superannuation and Financial Services Industry was the prolific nature of receiving fees from…
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Tips for using social media

Tips for using social media

Posted by By Matthew Farley June 16, 2022Posted inAFSL Compliance, Risk ManagementNo Comments
Just as our clients engage us for advice and guidance on regulatory matters, so do we engage with experts in certain fields.  One such field is digital marketing. 
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How to minimise the costs associated with complaints management

Posted by By Matthew Farley May 30, 2022Posted inAFSL Compliance, Complaints ManagementNo Comments
With experience in managing in excess of 2,500 client complaints, our clients often ask our advice on how to address complaint responses. Recently, the Australian Financial Complaints Authority, AFCA, released…
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Preseason Training for your AFSL

Preseason Training for your AFSL

Posted by By Matthew Farley February 4, 2022Posted inUncategorizedNo Comments
With the start of the new year, it is important that you take time to prepare for the year ahead. Whatever sport you follow., be it soccer, rugby league, rugby…
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Trouble the comfortable and comfort the troubled

Posted by By Matthew Farley November 13, 2021Posted inAFSL Compliance, Financial Planning, Risk ManagementNo Comments
“The interesting thing about coaching is that you have to trouble the comfortable and comfort the troubled.” - Ric Charlesworth Before I started my financial services career, I did as…
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