Key Projects

Key Projects



  • 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.

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