Current engagements:
Financial Planners:
I provide assistance and support to the partners of a financial planning business. The business provides a range of financial planning/credit advice & services to its clients ranging from "mums & dads" to high net worth clients.
AFSL Licensee:
I am currently a Director of company which holds an Australian Financial Services Licence (AFSL). The company has, as its clients, a number of independent providers of financial services (Authorised Representatives) who own their own financial services' business. My role is to ensure that the AFSL requirements are met so as to ensure compliance with regulatory obligations.
I provide assistance and support to the partners of a financial planning business. The business provides a range of financial planning/credit advice & services to its clients ranging from "mums & dads" to high net worth clients.
AFSL Licensee:
I am currently a Director of company which holds an Australian Financial Services Licence (AFSL). The company has, as its clients, a number of independent providers of financial services (Authorised Representatives) who own their own financial services' business. My role is to ensure that the AFSL requirements are met so as to ensure compliance with regulatory obligations.
Previous Employment:
Prior to working for myself, I spent nearly 25 years in the public sector with the corporate regulator in the State (WA Corporate Affairs department) and Commonwealth (Aust Securities & Investments Commission) public sector.
During this time, I provided advice on statutory & general compliance matters, represented ASIC at seminars & forums, oversaw ASIC's Business Centre Network, provided input into proposed legislative amendments as well as online access services. I also managed a national enforcement program and complaints program.
Upon leaving ASIC, I worked for a commercial law firm as a Paralegal/Office Manager and then as the Compliance Manager for an MIS operator. The skills and experience I gained in both the public & private sectors underpin the services that I now provide.
Further, for some 10 years, I was the Chairperson of a professional Responsible Entity's Compliance Committee and provided advice on compliance matters. Also, during this time, I was a Director and/or Company Secretary of a small company that provided Internet based marketing services, eg a Directory Listing service.
During this time, I provided advice on statutory & general compliance matters, represented ASIC at seminars & forums, oversaw ASIC's Business Centre Network, provided input into proposed legislative amendments as well as online access services. I also managed a national enforcement program and complaints program.
Upon leaving ASIC, I worked for a commercial law firm as a Paralegal/Office Manager and then as the Compliance Manager for an MIS operator. The skills and experience I gained in both the public & private sectors underpin the services that I now provide.
Further, for some 10 years, I was the Chairperson of a professional Responsible Entity's Compliance Committee and provided advice on compliance matters. Also, during this time, I was a Director and/or Company Secretary of a small company that provided Internet based marketing services, eg a Directory Listing service.