Our Services
AFSL Reviews
We dive into your existing compliance processes to understand your business goals and review your current framework. We'll identify potential compliance gaps in your current processes, policies and structures, offer a full analysis of our findings and deliver tailored recommendations to help amplify your advice impact.
AFSL Governance
We offer targeted support to help you run your license effectively. From running and attending Compliance Committee meetings as an external chair to delivering regulatory updates and bespoke compliance reports, our aim is to keep you on top of your obligations and on track towards smoother, more efficient operations.
AFSL Applications
Are you looking to set up your own AFSL? We offer assistance in setting up your licence and will guide you through the AFSL Application process from decision making to approval. Our initial decision making stage will help you assess if an AFSL is suitable including guidance in meeting your initial and ongoing compliance obligations.
Adviser Audits
We specialise in providing comprehensive Adviser Audits to assist in meeting your AFSL's monitoring and supervision obligations. We conduct thorough reviews of client files to ensure adherence to regulatory standards and best practice. Our audits identify gaps and provide actionable recommendations to address them. Our Audit service includes a detailed report of our findings, a virtual debrief discussion to provide clarity and actionable insights.
Tailored Services
We deliver scalable compliance solutions that are handpicked to have the most meaningful impact on your advice business. From monthly service packages including, policy reviews and help desk support, we design bespoke consulting packages that will help you to meet your ongoing AFSL obligations and reach your business goals.