- Review of the current state of your AFSL with relevant policies and behavioural compliance, in accordance with s912A of the Corporations Act.
- Review of your behavioural compliance and processes against regulatory requirements and your specific authorisations and conditions.
- Compliance Program.
- Review of your Responsible Managers.
- Appointment and training of Representatives.
- Monitoring and supervision of Representatives.
- Breach management.
- Risk management.
- Conflicts of interest management.
- Dispute resolution & PI Insurance.
Rigorous testing of compliance frameworks is paramount in this day and age and that is why we apply a comprehensive process in assessing your compliance systems, taking into consideration the size and nature of your business.
Our review includes: