The services provided include:

The following is an example of what is included:
  1. Monitoring Licensees to ensure that they comply with their AFSL and ACL compliance obligations;
  2. Liaising with Compliance Auditors;
  3. Reviewing policies and procedures;
  4. Managing complaints and breaches;
  5. Monitoring Authorised Representatives and Credit Representatives;
  6. Monitoring the activities of External Service Providers;
  7. Providing advice and assistance with Privacy and Anti-Money Laundering obligations;
  8. Assessing risk;
  9. Participating as a member of a Licensee's Compliance Committee;
  10. Attending to general ASIC lodgement requirements;
  11. Managing a company's Corporate Register; and
  12. Assisting Company Secretaries with their general obligations and responsibilities (not public companies).

BNI Presentation:

The following is a PowerPoint presentation I delivered to members of a BNI Chapter.

If you would like to know more about BNI (Business Networking International) and how it may benefit your business or find a Chapter in your area, please click here.