AFSL Compliance Services
Organisations that wish to provide financial products and services in Australia are generally required to have an Australian Financial Services Licence (AFSL) with the appropriate authorisations. The privilege of holding an AFSL comes with stringent regulatory compliance requirements.
We can potentially assist AFS licensees with their requirements, including ongoing support and responsible manager nominations.
Ongoing AFSL Compliance Solutions
Whether you are looking for an alternative to the traditional in-house compliance function, or you would like to boost your compliance capacity without committing to hiring more permanent staff, we can work with your team to work out a solution to boost your compliance capacity while efficiently leveraging the existing expertise within your team, so you can focus on running your business without losing sight of the regulatory obligations you must comply with.
Responsible Manager Management
A Responsible Manager (RM) is a person who satisfies the knowledge and skills requirements under RG 105 to maintain the authorisation(s) granted to an AFSL holder. In other words, RMs are the individuals that allow a licensee to maintain the authorisations granted under its licence.
We may be able to assist you with RM management (such as nomination and termination).
Next Steps
To find out more about our tailored AFSL compliance services, click here to pencil in an obligation-free virtual coffee with our director and founder Xiaoshu Liu.