+61 422 218 197
FINANCIAL SERVICES
FINANCIAL SERVICES CONSULTANCY
Responsible Manager for AFSL
Non-Executive Director (NED)
Company Secretary
Compliance Committee member
Risk Committee member
Local Agent of foreign company
Resident Director of foreign company
Nominee Director
Independent Compliance Consultant
Compliance Advisor for startups and regtechs
Compliance Advisor for Sponsors of pre-IPO companies
FINANCIAL SERVICES LICENCE
AFSL application
AFSL variation
Responsible Manager application
Due Diligence on Directors and RMs
Introducing AFSL’s and CARs
Foreign financial service provider – foreign company registration
Foreign financial service provider – AFSL application
MANAGED FUNDS
Compliance framework for fund managers
Register MIS with ASIC
Draft Compliance Plan
Compliance Plan monitoring
Compliance Committee reporting
Compliance sign off on PDS and marketing material
Third party due diligence/ ODD
Independent review of compliance procedures
Compliance Management System implementation (RG 132)
Risk Management Framework (RG 259)
GS 007 procedures
Lodgement ASIC forms
Breach assessments
AML / KYC
Registration of Reporting Entity
Drafting AML Program
Independent review of AML Program
AML Compliance Review
AML Training
Risk Assessment
Annual Compliance Report
Drafting KYC procedures
SMR reporting
KYC managed service
GOVERNANCE, RISK AND COMPLIANCE
Due Diligence
Compliance framework set up for AFSL holders
Drafting compliance procedures
Compliance sign off on marketing material and disclosure documents
Breach assessments
Complaints handling
Risk Management framework
AML Compliance Review
Independent review of compliance procedures
Royal Commission recommendation implementation
FINTECH AND START UP ADVISORY
Company structuring
Shareholder agreements
Company constitution drafting
Investor presentation and capital raising
Structuring of online platforms and exchanges
Website design and SEO optimisation
Marketing and branding advisory