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



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



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 their personnel and/or provide personnel for compliance and risk management roles to supplement the team competencies. We also offer in-house training.

enforcable undertakings

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 reports for licence hearings.


Compliance development and maintenance

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

Annual Reports

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.

Annual Reports

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.

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.