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.
Where organisations lack the necessary experience and competencies required by the regulators, we can recommend training courses, train current and new personnel and/or provide personnel for compliance and risk management roles to supplement existing team competencies. We also offer in-house training.
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 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.
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.
Assistance with internal investigations and research leading to the development and implementation of internal remediation action and programs. Assistance and guidance with the implementation of regulator-initiated remediation demands.
Know Compliance helps clients to comply in a practical and cost efficient manner. To achieve success in your business, you need to have the necessary licence(s), the time and resources to be able to focus on what you do best – running your business. 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, 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 sole director companies to listed multinationals.
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
Mei Ling Perry
M.Corp Law, B.Ec
Grad Dip. Invest and Fin
Grad. Dip. Applied Corp. Governance
B. Comm, CPA
Darryl Phyllip Benn
Dip Fin Services, Dip Fin Planning
B.Ec, RG 146 (ELC and IPI)
Le Ngoc Lam (Yen)
B. Business Accounting
BA, Prince2® and ITIL certified
A mastery of Mandarin.
Dip.Industrial Engineer (Assoc.)
|Know Compliance is proud to welcome Huiyan Fan as a management consultant. Huiyan brings significant experience, as well as a mastery of Mandarin. With the addition of Huiyan's skills and experience, Know Compliance is well placed to assist clients.|
非常荣幸樊惠云能够成为Know Compliance的一名管理顾问。 惠云工作经验丰富并且精通普通话，相信在她的专业技能及经验的助力下，Know Compliance将会更好地为客户提供服务。