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Boutique AFSL Compliance Services - Integrity Compliance

AFSL Compliance for Boutique Licensees

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Client Projects

Client projects

We can work on simple projects, right through to managing complex remediation issues.

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Our role is to identify where the risk management dangers are and guide you to navigate a better path.

Read some case studies about client issues we have worked with. We address issues they may have, via project work or partnering over the longer term.

Service one

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Service two

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Service three

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Some examples of the work we do

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Partnership with Dealer Support Services Group to deliver compliance services to its network of self licensed AFSLs;

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Led large scale client review and remediation program relating to SMSF as part of an enforceable undertaking;

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Led large scale client review and remediation program relating to SMSF as part of an enforceable undertaking;

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Led large scale client review and remediation program relating to SMSF as part of an enforceable undertaking;

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Led large scale client review and remediation program relating to SMSF as part of an enforceable undertaking;

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Led large scale client review and remediation program relating to SMSF as part of an enforceable undertaking;

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Led large scale client review and remediation program relating to SMSF as part of an enforceable undertaking;

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Led large scale client review and remediation program relating to SMSF as part of an enforceable undertaking;

All of our service levels include

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Our packaging is based on the needs of your business and the resources you have.

We work with a range of clients, who have varying needs and available resources within their business. Our pricing reflects the support and guidance you need, based on your business demands. Book a call with us to discuss the right solution for you.

PREMIUM

We act as your external Compliance Committee Member and attend 4 compliance committee meetings per year virtually via Teams link. We also provide:

  • Regulatory updates and analysis
  • Compliance Calendar Management
  • Compliance Framework Maintenance
  • Reviews and updates of your registers
  • Technical compliance support
  • Audit findings and remediation results
  • Access to Integrity Connect
  • Updated and maintained policies
  • 2 advice file audits per year
SCHEDULE A CALL

ESSENTIALS

We are your compliance consultants and assist with your quarterly compliance committee meetings to ensure your risk is mitigated as much as possible. You will receive:

  • Access to Integrity Connect
  • Fully maintained policies and procedure templates
  • Quarterly meeting with a consultant to monitor risks, registers and policies
  • Access to Technical Enquiries inbox
SCHEDULE A CALL

*Pricing is custom and is based on the needs of the business.

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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

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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)

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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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