As part of our compliance risk management services we assist clients who wish to outsource AFSL compliance and Australian Credit Licence compliance functions or who just need additional support from time to time. We also carry out independent expert reviews.
In addition to identifying new compliance obligations as they arise, we:
- assess which obligations apply to you;
- work out their impact on your business; and
- what you need to do to comply.
Our outsourcing services include:
- Designing compliance frameworks
- Complaints and incidents management
- Breach management
- Internal or external (regulatory) reviews and inquiries
- Remediation of significant breaches or systemic issues
- review compliance with Enforceable Undertakings to ASIC or the ACCC;
- acting as external compliance expert for your Compliance Committee,
- annual compliance reviews,
- support for specific projects,
- a monthly report on compliance obligations,
- retaining us for a fixed number of hours a month for general enquiries for your employees,
- governance and compliance advice.
We can help you with FINANCIAL SERVICES AND CREDIT COMPLIANCE:
- FSR and Australian Financial Services Licences
- Australian Credit Licences and Consumer Credit
- Company acquisitions and Mergers and transfers of business
- Australian Consumer Law (Trade Practices)
- Privacy, credit reporting and data breach reporting
- AML/CTF
- APRA Prudential Standards
- Codes of Conduct
- Helping you manage your compliance framework and plan
- Implementation of regulatory change including industry codes.
We also offer access to our online CPD training and in-house training.
Contact us for fixed price quotes.
