Australian Financial Services License (AFSL)
Policies and procedures
- Appointment, Training, and Termination: Responsible Managers and Representatives
- Conflict of Interest Management
- Breaches and Breach Reporting
- Risk Management
- Promotional Material
- Staff Trading Policy
- Dispute Resolution
- Outsourcing
- Registers (eg training register, complaints register, breach register etc)
Ongoing AFSL Compliance Solutions
- Staff Compliance Inductions, Refreshers and Further Roles-based Training
- Representatives Monitoring and Supervision, and Reporting to the Compliance Committee and/or the Board of Directors
- Monthly or Quarterly Compliance Meetings
- AFSL Compliance Policy Review and Updates
- Liaison with Regulators
- Assisting with the Maintenance of AFSL Compliance Registers
Contact info
We are open for new projects!
Online Enquiry
Any questions or business offers? We are looking forward to hear from you!
Call us
International: +61 2 9188 2999
Taiwan: 02 5594 4927
Australia: 1300 729 171
China : 950 4059 5638
MAIN OFFICE LOCATION
Level 18, 799 Pacific Hwy
Chatswood NSW 2067
Chatswood NSW 2067