Know Compliance

AFSL and ACL compliance consultants
Melbourne, Sydney, Brisbane, Gold Coast

Our Services

We specialise in the following

Legal

Know Compliance Legal provides cost effective and timely solutions to legal problems, including commercial litigation, insolvency, company law, property, trusts and equity.

Licences

Applications for new licences and licence variations to suit your business requirements and to enable you to sell new products and services. This includes Australian Financial Services and Credit licences.

Training

Where organisations lack the necessary experience and competencies required by the regulators, we can recommend training courses, train their personnel and/or provide personnel for compliance and risk management roles to supplement the team competencies. We also offer in-house training.

Enforceable undertakings

Assistance in developing and implementing strategies to deal with surveillance, investigations, licence hearings, appointment as external compliance consultants reporting to regulators under enforceable undertakings and expert reports for licence hearings.

Compliance development

Compliance frameworks, compliance plans, compliance audits and reports (internally or to regulators), agendas and minutes for compliance meetings.

Annual audit reports

Assistance with the preparation of information to enable external auditors to complete audit reports in a timely manner for lodgement with regulators.

Risk management implementation

Discussion and documentation of risks and risk management strategies with your teams and your management.

Fundraising

Preparation and due diligence of offer documents, review of advertising brochures, website material and supporting documents to enhance your reputation and to minimise the risk of misleading information being circulated.

About Us

Know Compliance helps clients to comply in a practical and cost efficient manner.

Know Compliance helps clients to comply in a practical and cost efficient manner. To achieve success in your business, you need to focus on what you do best and to have the necessary licence(s). Let us help you with compliance, risk management and corporate governance matters which is what we do best.

We have a team of highly qualified people who have worked for a diverse range of organisations including regulators ASIC and APRA, tertiary and training institutions, the ASX, stockbrokers, business information providers, retail and wholesale fund managers, custodians, insurance companies, venture funds, financial planners and issuers of fixed interest, debenture and mortgage loan products.

Since 1998 we have assisted a wide array of firms in the financial services and other industries to meet increasing levels of compliance and risk management. You can rely on our practical approach and knowledge as we have over 100 years of combined industry experience in assisting companies ranging from listed multinationals to sole director companies.

Our success comes from understanding our clients’ business operations and providing compliance support to a deadline and at a reasonable cost.

  • We listen to your needs
  • We aim to exceed your expectations
  • We take the extra steps to produce a satisfactory outcome for you
  • We tailor our services to meet your organisation’s unique requirements

THE TEAM

We have over a century of Compliance Experience
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Mei Ling Perry

Director and Founder

M.Corp Law, B.Ec
Grad Dip. Invest and Fin
Grad. Dip. Applied Corp. Governance
More than 25 years in Financial Services including 7 years as a Senior Officer with ASIC

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Rikki Zubar

Senior consultant

B. Comm, CPA
Senior consultant
Many years in senior positions with ASIC, its predecessors and ASX.

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Darryl Phyllip Benn

Specialist Consultant

Dip Fin Services, Dip Fin Planning
Ex AFS licensee and current Australian Credit licensee

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Charlton Li

Consultant

B.Laws (Hons), B.Comm
Dip of Fin Planning (inc RG 146)
Over 10 years’ experience in the financial planning and banking sector

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Andrea Morow-Griffin

IT Administrator

BA, Prince2® and ITIL certified
Project Management

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Dennis Clark

Specialist Consultant

B.Ec, Dip.Ed.
More than 30 years business experience

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Katrina Griffith

Consultant

B.Ec, RG 146 (ELC and IPI)
International Baccalaureate
Over 12 years’ experience in the Financial Services industry

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Le Ngoc Lam (Yen)

Consultant

B. Business Accounting
Accountant and bookkeeper

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Leon Betheras

Director and General Manager

Dip.Industrial Engineer (Assoc.)
More than 30 years experience in retail, manufacturing, property, financial services

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Get in touch


  PO Box 206, Yarraville Victoria 3013
  Telephone: +61 3 9689 1186
  Email: leon@knowcompliance.com.au