Australian financial services License
We can show you a simple path to navigate the apparent complexity of applying for or varying your AFSL.
ASIC has a wealth of regulatory guidance and information available to AFSL applicants. For many, the breadth of guidance can appear complex and confusing. We can help you to understand what you need, where are your gaps and how to get to a solution.
Australian Securities & Investments Commission inquiries
In meeting its obligation to promote confident and informed participation in the financial system, ASIC prosecutes it role vigorously, as it should.
With any ASIC investigation it is important to understand what the regulator is trying to achieve and why. As in any investigation, ASIC may not have all the relevant information it requires to confirm you are doing the right thing. With an experienced regulatory compliance professional in our firm we can help to present your position and advise you on options to achieve a suitable outcome for you and ASIC.
Australian Prudential Regulation Authority reviews
APRA approaches its prudential regulation obligations on a relationship basis.
Out team has experience in participating in prudential reviews, understanding what APRA seeks and how to inform them about your business. APRA seeks to ensure that senior management and directors understand the business they are running and we can assist you in preparing for an APRA prudential review.