Key Projects
Include:
- Partnership with IOOF Alliances to deliver compliance services to its network of self licensed AFSLs;
- Assisted former 10 top AFSL (by size) in negotiations with ASIC;
- Assisted NYSE listed wealth management business in establishing compliance framework for distribution to wholesale clients in Australia;
- Led large scale client review and remediation program relating to SMSF as part of an enforceable undertaking;
- Led large scale advice file review program as part of an enforceable undertaking;
- Led key licensee competency and advice supervision program for leading independent AFSL;
- Acted as independent consultant to major industry superannuation fund in review of advice process;
- Independent consultant and subject matter presenter to key industry associations in financial planning.