Drop us a line today for a chat about how we can help you manage your AFSL compliance.
Discover Our Services
Your safety net
At Integrity Compliance we pride ourselves on providing personalised and real advice when you need it the most. As your Compliance Consultants, we make it our priority to delve into understanding your business, crafting a framework that includes a personalised risk register that is unique to your business which will help you easily navigate regulatory complexities. We act as your safety net and we will empower you to make ethical and courageous decisions.
Committed to what's right
Integrity Compliance is proudly a diverse and unified team. Continual growth and ethical practices are at our core. We question the unethical and ensure that our collective integrity remains unshakable. We embrace uncertainties with transparency and celebrate diversity. We are dedicated to valuing integrity which is doing the right thing even when no one is looking.
We genuinely want to help
Our mission is to simplify complex problems for boutique licensees in an ethical, collaborative and truthful way. It's no surprise that our commitment to honesty is unwavering; we steadfastly commit to treating your business with the same care we would want for ourselves while offering advice without judgement.
How can Integrity Compliance help you?
We consider the complex needs of your business and deliver our services to suit them, so you gain maximum efficiency with minimal disruption to what you've already built.
Complete Solution
Premium
Everything from Essentials plus more
- Quarterly compliance meetings
- Quarterly compliance meeting minutes
- Two client file audits
- Policies supplied and updated
- Regulatory updates & analysis
- Compliance framework & calendar
- Monitored compliance registers
- Comprehensive technical support
- Integrity Connect
- Regular newsletters
AFSL Applications
Apply for or vary your AFSL
- Complete application management
- Business description & proof preparation
- Document lodgement
- Liaison with ASIC
- Complete variation management
- Proof preparation & lodgement
- Liaison with ASIC
How We Work
Our values center on mutual respect. We are mindful of your time and do our utmost to ensure that we are consistently punctual and deliver concise and relevant information in our communications to you.
We actively listen to your needs and unite with you to reach common goals. All our interactions are carried out with open communication, care and positivity, and we always set realistic expectations.
At the core of our identity lie key values: accountability, unwavering morals, dependability, and reliability. These principles guide everything we do. We believe in fostering an environment where openness, honesty, and empathy flourish in every interaction. We are passionate about this industry and we are all about what we can give back.
Sometimes, embracing constructive criticism and engaging in uncomfortable conversations is essential. They're not just challenges; they're opportunities for growth, both individually and in our relationships.
We're in this together and we will act without fear or favour. We understand that everyone's path is different, and we're here to embrace and respect yours. Giving each other the benefit of the doubt is key, as we guide you through your challenges with attentiveness and thoughtfulness.
Our clients benefit from our expertise
Beyond mere transactions, we’re focused on fostering meaningful experiences that transcend typical client relationships.
MTIS Private Wealth was established in 2015 and is currently the licensee to a number of authorised representatives. Our business provides financial advice and general advice. It became evident that due to our complex structure which includes advisory services, media services and separately managed accounts business, a stringent compliance regime needed to be in place. We were referred to Integrity Compliance and came to the quick realisation that the team at Integrity Compliance were just what we needed. Their experience was essential in ensuring we remain compliant at all times. Rhett has been at all times available to us in the event we need to run things by him and always happy to assist. Integrity Compliance are a terrific support to the management of MTIS Private. Since engaging Integrity Compliance, we have been able to focus on growing the business with the full confidence that the team stands beside us in meeting our compliance obligations.
Anna Garuccio
Director, Investment Strategists (MTIS)
We have been working with Rhett and iCompliance now since 2016, since we decided to pursue the idea of obtaining our own Australian Financial Services license. Rhett helped us through the process of applying to ASIC for the license and was with us every step of the way until our license was granted and now, iCompliance continues to assist with our ongoing compliance position. The superior knowledge of the law and compliance that Rhett and his team have gives me comfort every day knowing that we are in the right hands and are proceeding down a path that is going to keep us out of trouble and ensure that we always maintain our documentation and compliance to the highest standard of legal, compliance and regulation.
There is never a question that Rhett and the team don’t know the answer to or can’t find the answer to. These guys are an amazing resource to have in your corner. iCompliance makes compliance a breeze with the proactive and innovative approach that Rhett and the team take. I feel in very safe hands with iCompliance.
Footnote: Not to mention Rhett is a really top bloke who I’m sure anyone would be happy to call a mate.
Dane Jansen
Positive Dynamics
RGM Financial Planning engaged the services of Integrity Compliance to assist with AFSL variations and for ongoing Responsible Manager training and compliance support. We previously obtained these services from a large Institutional provider but were dissatisfied with their one-size-fits-all approach. Rhett was referred to us by a professional colleague and we have found the personalised touch and face to face contact very refreshing. Rhett is knowledgeable, approachable and accessible. He and his team deliver a tailored solution at an affordable price. At this stage we couldn’t be happier with the service provided.
Vince Peluso
RGM Financial Planners Pty Ltd
Having known Rhett and his team for many years, when we decided to get our own AFSL we immediately engaged him for both establishing our AFSL and also the ongoing compliance work. The quarterly meetings, together with 4 audits per year for each of our AR’s is integral to us in ensuring we remain at the top of our game from a compliance point of view. Whenever we have a question or need a policy updated the team are quick at responding which is so re-assuring that we have them covering our compliance, it’s one less thing to worry about when running a business and AFSL.
Jenny Brown
JBS Financial Strategists
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Contact Us
We proudly support boutique Licensees across Australia both virtually and in person.
1300 416 736
info@icompliance.com.au
Level 1
231 Glenferrie Road
Malvern VIC 3144
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We recognise the First Peoples of this Nation and their ongoing cultural and spiritual connections to the lands, waters, seas, skies, and communities. We acknowledge the First Nations Peoples as the Traditional Custodians and Lore Keepers of the oldest living culture and pay respects to their Elders past and present. We extend that respect to all First Nations Peoples.