Key Projects

Key Projects

services

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.
services

Not sure which service you need?

Contact Integrity Compliance today to find out how we can help you