Our Services

Licensing, Compliance and Risk Management

Australia is acknowledged as one of the most highly regulated countries in the world. We can assist you to build your business and also meet regulatory requirements administered by regulators including ASIC, AUSTRAC, APRA and ACCC.

With our expert assistance, you and your board can be assured that your business strategies have considered compliance obligations and allocated resources effectively by implementing a practical compliance framework and risk management strategy.

Range of Services

	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 an organisation lacks the necessary experience and competencies required by the regulators, we can recommend training courses, train your personnel and/or provide personnel for compliance and risk management roles to supplement the team competencies.
	Enforceable undertakings and other regulatory action 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 witness reports for licence hearings.
	Remediation 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.
	Compliance development and maintenance 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.

Other Services

Support your business development with the preparation of information on your corporate governance, risk management and compliance.

• Project management.
• Assistance with selection and implementation of off the shelf electronic compliance systems.
• Development of policies and procedures that take into account the complexity of your operations and help you meet regulatory requirements.
• Corporate advice on company and trust structures.
• Engagement of external auditors and preparation for licence and compliance plan audits.