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Limited AFSL Application Assistance

Sophie Grace can help accountants get a limited AFSL from ASIC before the deadline with cheap and efficient packages available, including templates of the key documents that need to be submitted for $220 (including GST) each.

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Help to obtain limited AFSL

Sophie Grace can help accountants get a limited AFSL from ASIC before the deadline with cheap and efficient packages available, including templates of the key documents that need to be submitted for $220 (including GST) each.

Some of the documents which are required by ASIC as part of an application for a limited AFSL include:

  • Business Description
  • Organisational Expertise Table
  • Copies of all qualifications, including course transcripts and certificates, held by your Responsible Managers
  • Financial Resources Statements including a current balance sheet, cash flow projections and profit and loss statements
  • Professional Indemnity Insurance certificate
  • External dispute resolution scheme membership certificate
  • Confirmation from the applicant that it will not hold client money

Sophie Grace will work closely with you to prepare this documentation to meet ASIC’s requirements.

More information is available on the AFSL application process for a full and limited licence by clicking here.

A core part of our business is to help our clients obtain and maintain their AFSL.  We help you implement processes to ensure that you meet all of your statutory and legal obligations on an ongoing basis.

For those who manage compliance internally in the business, External compliance reviews are also available once you have been running for at least 12 months, or if required by ASIC.

Our clients are all over Australia and across the spectrum of financial services. This gives us good knowledge of the marketplace you are operating in and ensures you are provided with current and appropriate solutions.