FS Compliance

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

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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

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