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AFSL Compliance Review

Sophie Grace can conduct an analysis to review and report upon your business compliance with applicable key legal and regulatory obligations. Most AFSL and ACL holders conduct an external compliance review at least once every 12 months.

The review will cover your compliance documentation, procedures and processes to ensure that they meet regulatory requirements and your AFSL or ACL authorisations and conditions. 

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AFSL Compliance Review

Sophie Grace will conduct the external compliance review at your office. Depending on the size of your organisation, this could take half a day or several days.

Suggested areas of external review are for AFSL holders are listed below, however areas of focus can be tailored according to the requirements of your business.

  • Compliance Governance;
  • Compliance Plan and Policies;
  • Compliance Monitoring / Internal Audit (if any);
  • Compliance Training;
  • Disclosure;
  • Conflicts of Interest;
  • Complaints;
  • Breaches & Incidents;
  • Training and Competence of Representatives;
  • Risk Management;
  • Outsourcing processes.

If you would like to obtain further information or assistance, please contact Sophie Grace directly.