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Regulatory Requirements

The following authorisations will be required:

  • provide general financial product advice for the following classes of financial products:
    • derivatives; and
    • foreign exchange contracts;
  • deal in a financial product by:
    • issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
      • derivatives; and
      • foreign exchange contracts; and
  • make a market for the following financial  products:
    • foreign exchange contracts; and
    • derivatives;

to either retail or/and wholesale clients.


  • Obligation Free Consultation

    We will call you back ASAP!

  • AFS Licences

    Sophie Grace assists a variety of businesses on a daily basis with all stages of obtaining an AFSL. We provide two standard service offerings and can create a package to best suit your business’ needs:

    1. Full Service AFSL Application;
    2. Templates for your AFSL Application; and
    3. Review of your AFSL Application.

    Sophie Grace works with numerous businesses across the financial services industry.

    Read more about the AFSL application process, requirements and how we can assist you.

    Australian Credit Licences

    Sophie Grace is equipped to assist your business engaged in credit activities to meet its obligations under the national consumer credit laws. 

    We provide two standard service offerings and can create a package to best suit your business’ needs:

    1. Full Service ACL Application;
    2. Templates for your ACL Application; and
    3. Review of your ACL Application.

    Read more about the ACL application process, requirements and how we can assist you.

    AML/CTF

    The AML/CTF Act imposes a risk-based approach to counter money laundering. The obligations under the AML/CTF Act are imposed on a wide range of financial services and credit organisations.

    Sophie Grace can provide you with an AML/CTF Program tailored to your business to ensure that you continue to comply with the obligations under the AML/CTF Act and AML/CTF Rules.

    Sophie Grace will work with your business to achieve overall AML/CTF compliance. Read more about how we can assist you.

    Compliance

    Sophie Grace can provide tailored compliance solutions that are efficient and practical. These systems will be designed to ensure your business is constantly achieving the most strategic and efficient operational standards. Sophie Grace is committed to helping you comply with all laws, codes of practice and regulations which apply to your business.

    Sophie Grace can provide compliance systems to comfort and satisfy management, shareholders and suppliers that action has been taken to limit business risk and exposure.

    Read more about the increasing need for compliance.

     READ MORE