We provide a variety of compliance services for our clients. They include the following:

• Licensing: Obtaining funds management AFSL and ACL implementation of a program to ensure
• Compliance manual and system design: Provision of turn key compliance process including preparation of Compliance manuals and policy preparation from a whole of system viewpoint to ensure license, regulator and legal requirements met.
• Risk Management system design and review: Creation and review of risk management systems.
• Ongoing Compliance Licence Reviews: As required, implement an independent program to ensure ongoing compliance with Corporations Act and ASIC requirements applying to an AFSL. Ensure Corporations Act and ASIC requirements met; quarterly audit and sign off process service provided.
• Training of staff: Training of staff to satisfy CPD complaint and creation of training modules to be used in- house for these purposes.

Because we have practical experience in line roles in fund managers in designing and implementing each of the above services, we bring a pragmatic and informed approach to all of our service.