Regulatory compliance and risk management is becoming more complex.

Typically our clients are organisations who provide services to their members such as public companies (listed and unlisted), banks, building societies, credit unions, friendly societies, private health funds, co-operatives, community housing providers, superannuation funds, insurers, co-operatives, charities and not-for-profits.

Our financial institution clients are often subject to regulatory reviews, audits, enquiries and investigations.

We are experienced in dealing with regulators and responding to statutory notices, information requests and audit findings from regulators.

Regardless of their size, they all must comply with complex regulations and risk penalties and damage to their reputation if their employees fail to meet their compliance obligations.

In addition to strict compliance, if you are a director or manager whose organisation is struggling with developing policies and procedures that affect your organisation and want to better manage your risks, make sensible risk decisions in the context of your strategy and control your costs, we can help you.

Our clients are successful businesses who are committed to maintaining a compliance culture. But they realise that they can’t do everything. We can help you with compliance with the Banking Act, National Consumer Credit Protection Act, National Credit Code and Corporations Act and the financial services laws including:

  • FSR and Australian Financial Services Licenses
  • Australian Credit Licences and Consumer Credit
  • Company acquisitions and Mergers
  • Australian Consumer Law (Trade Practices)
  • Privacy
  • AML/CTF
  • Helping you through the Compliance Maze

Talk to us about our fixed price monthly compliance support retainer.

 

What do we do?

  • Compliance outsourcing
  • Compliance Systems and Policies
  • Advice
  • Continuing Professional Development
  • Workshops / Training
  • Compliance Reviews
  • Document Drafting
  • Website Review – We can review your website and ensure that it complies with relevant laws.

We regularly review:

  • Terms and conditions
  • Product disclosure documentation
  • Loan and security documentation
  • marketing material
  • Distribution and referral arrangements
  • Compliance with regulatory and governance requirements and codes of conduct
  • Dispute resolution – management of complaints and litigation

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We understand you need a cost-effective way to keep up to date with regulatory changes