Our experts can provide you with independent compliance and risk management advice. Providing practical recommendations for improvement to your internal frameworks.
Licencing
- AFS licence applications and variations
- Responsible manager AFSL applications
Compliance Plan development and monitoring
- Provide assistance and training in the development and monitoring of your Compliance Program
- Development and implementation of a compliance plan based on the legislative and regulatory obligations of the entity and in accordance with ISO 37301:2021 compliance management systems, and provide continual effectiveness monitoring
Independent reviews on operational areas
- Review the effectiveness of operational frameworks (e.g. Conflicts of interest, AFS licensing obligations, provision of financial product advice, business continuity, anti-money laundering and counter-terrorism financing (AML/CTF), business processes and policies
- Independent reviews on any operational area within the financial services industry
Regulatory and legislative advice
- Provide advice on the impact of regulatory and legislative change on the product issuer and fund operations
- Provision of up to date and tailored advice on regulatory and legislative requirements
Other services
- AML/CTF Program development and implementation
- Incident management and breach management framework development and management
- Breach, incident and complaint investigations, including recommendations for regulator reporting where significant
- Liaison with Regulators on Licensees behalf
- Development and maintenance of policies and procedures
- Document due diligence checklists and reviews
- Tailored policy, checklist and template development
Risk Management Framework review
- Review the effectiveness of your Risk Management Framework based on the requirements of ISO 31000:2018 Risk Management and relevant regulatory and legislative obligations, including recommendations for continuous improvement and insights into the latest thinking from the regulators
Risk culture review
- Risk culture review including a written Report on our findings and recommendations for improvement
Risk management training and facilitation
- Deliver facilitated training sessions on risk management within the superannuation and financial services environment
- Risk and control identification workshop
