Our Services
We provide end to end compliance consulting services to all stakeholders in the financial planning industry.
Our clients range from industry superannuation funds, funds management businesses, large dealer groups, boutique AFSLs and corporate authorised representatives.
AFSL Applications
Applying for an Australian financial services licence will be a quantum leap for many. Before you get started, you should know if this is right for you.
Our services include:
- Sitting down with you to help you understand:
– whether it is right for you;
– what you need to do; and
– how you should do it. - Leading and managing the application process for you with ASIC.
- Helping you get set up so you can focus on the ‘business side’ of your business.
Ongoing Support
Ongoing compliance support is the most critical part of running your AFSL.
If you already have your AFSL and you’re enjoying the powers of freedom but you prefer not to do the compliance that comes with it, we can do most of the heavy lifting with you (or for you).
Our services include:
- Completing an initial AFSL Health Check
- Creating systems and frameworks based on your business to help you monitor the compliance of your representatives
- Carrying out advice file audits and pre-vets
- Attending your risk and compliance committee meetings as an independent external member
- Reviewing and updating your compliance policies and registers
- Providing you with regulatory updates and analysis
- Training and vetting new advisers who have on-boarded your business
Training
We have presented at industry conferences as subject matter experts in compliance.
We provide regular training on topical matters and can tailor training programs based the risks areas we see across all our clients.
If you have particular areas you would like training on for you or your representatives, we can design the framework for you.
Our services include:
- responsible manager training
- specific subject matter training
- targeted risks based training identified in your business
Compliance Projects
Integrity Compliance can work with you on a range of compliance projects.
Our services include:
- Leading licensee policy and process reviews
- Leading and managing client review / remediation programs
- Leading advice pre-vet programs
- Leading business acquisition due diligence
- Designing compliance matrices and frameworks specific to your business
Incident Management
Incidents often happen when you least expect them to.
The key is being able to manage it and not let it grind your business to a halt. We have run multiple ASIC engagement projects (remediation, ongoing monitoring programs, acted as ASIC approved independent experts in enforceable undertakings).
Our services include:
- Assisting you in meeting your breach reporting obligations
- Assisting you in your engagement with the regulators (remediation projects, surveillance, notice to produce)
- Acting as independent experts in enforceable undertakings
- Assisting and representing advisers and AFSLs in ASIC hearings