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Governance and Support
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GOVERNANCE AND SUPPORT FOR AFS LICENSEES

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“AFS licensees are responsible for making sure that their authorised representatives are aware of their obligations. This means that licensees must ensure that their policies and procedures are up to date and comply with the law. They must also have robust procedures in place to check that their authorised representatives are complying with those policies.”

— ASIC 18-382MR, “ASIC cancels AFS licence of Evermore Money Management”, 18 December 2018

Compliance Governance
Framework

We’ll get to know your business’s nature, scale and complexity to bring you a framework that’s relevant to your AFS licensee obligations, risk and resources.

The Law requires AFS Licensees to implement adequate arrangements and ensure that you:

  • Appropriately invest in your compliance systems, procedures and AFSL policies
  • Provide appropriate training;
  • Effectively monitor and supervise your representatives;
  •  Appropriately respond to compliance advice provided to you; and
  • Promote an appropriate culture.
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Obligations Register

Our Obligations Register uses the latest compliance software to track critical elements, ensuring that you remain ahead of your peers. This includes:

  • Advising you on which laws and obligations you are under obligation to comply with
  • Offering solutions to streamline your AFSL compliance obligations in a methodical and consistent way
  • Keep you up-to-date on the latest changes to laws, AFSL policies and guides to ensure your framework is both current and effective.
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Licensee Standards

As an AFS Licensee, understanding your obligations and regulatory expectations is not enough; you need to ensure that these obligations are communicated to your representatives clearly, consistently, and effectively.

Our Licensee Standards remove complexity and operationalise the law to provide your representatives with the guidance they need to determine the right course of action.

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AFSL Policies and
Procedures

Our ‘how-to’ guides offer specific, technical and compliant advice for both licensees and advisers to ensure efficient risk management in accordance with Licensee Standards.

Our guides have been researched and reviewed by our AFSL compliance consultants’ combined 20+ years of experience. We believe trust is the cornerstone of every client we work with. When trusting us with your business’s governance and support, do so confidently knowing that every regulation and law has been carefully considered before giving advice.

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Tools and Templates

Our tools and templates are an effective way to manage complexity and encourage consistency.

Our AFSL compliance consultants can provide you with:

Statement of Advice templates
Statement of Advice templates
Records of Advice
Records of Advice
File Checklists
File Checklists
Operational Risk Checklists
Operational Risk Checklists
Field Supervision Checklist
Field Supervision Checklist
Discovery Checklists
Discovery Checklists
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