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