“Cutting through the regulatory noise is a real art”
Our primary objective is to make your life easier by guiding you through the intricate regulatory landscape encountered as a self licensed business, leveraging our Integrity Connect Platform to help you meet your obligations as a licensee with as little impact on your time as possible.
We’ll conduct advice file audits and you’ll be given one Integrity Connect Portal licence, granting access to fully maintained policy and procedure templates. As an external committee member, we’ll actively participate in four virtual compliance committee meetings per year.
These meetings will encompass critical areas such as furnishing your AFSL with regulatory updates and analysis. We’ll also maintain your compliance framework and manage your compliance calendar. We’ll continually review and update your registers, addressing audit findings, and formulating remediation plans. Additionally, you’ll enjoy the benefit of unlimited technical compliance support.
Our Premium Support package is perfect for new or bigger Licensees that need comprehensive support for managing their compliance activity.
Quarterly compliance meetings
Your consultant will attend your compliance meetings virtually as an external Compliance Committee Member. Our team will manage your agenda, including the action items.
Compliance meeting minutes
In addition to your agenda and action items, we'll provide you with the minutes of your quarterly compliance meetings.
Two client file audits
As part of our Premium Support package, you benefit from two client file audits per year, which include findings and recommendations for remediation.
Policies supplied and updated
We will supply you with your business-specific policies and update them for you, allowing you the time to focus on running your business.
Regulatory updates and analysis
Integrity Compliance will proactively provide you with the regulatory updates and analysis that are applicable to your Licence, so you're always on top of regulatory changes.
Compliance framework & calendar
In addition to having access to a compliance framework and calendar, we'll help you maintain your framework so that it always meets your licence requirements, and we'll maintain an up-to-date compliance calendar for you to follow.
Monitored compliance registers
In addition to having access to compliance registers, we'll continually review and update them for you.
Comprehensive technical support
You'll receive comprehensive technical support whenever you need it.
Integrity Connect
We'll give you access to integrity connect to maintain your compliance registers and view your policies.
Regular newsletters
You'll be added to our email list for ongoing newsletters, so you can easily remain aware of what's happening in the regulatory landscape.
See what Gavin thinks about working with us.
Why did you decide to work with Integrity?
"We wanted to work with a group that lived and breathed the same values as us and saw our relationship as a partnership and an extension of our license. We have been working with Rhett and the team now for a year and we really feel like we have learnt so much about how we can continue improving the way we deliver advice to our clients as well as running a license with strong governance at its core."
Gavin Glozier, CEO and Principal
Your Wealth Hub Advice
Learn more about our other AFSL Licensee support packages
AFSL Applications
- Complete application management
- Business description & proof preparation
- Document lodgement
- Liaison with ASIC
- Complete variation management
- Proof preparation & lodgement
- Liaison with ASIC
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
Let's Connect
Drop us a line today for a chat about how we can help you manage your AFSL compliance.
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.