Attention AFSL Responsible Managers: Are your details with ASIC up to date?

When making an application to ASIC to become a Responsible Manager on a new or existing Australian Financial Services Licence (“AFSL”), all applicants must answer questions relating to the average number of days the Responsible Manager expects to spend on duties related to the provision of financial services. Most applicants answer this question ba...

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Larissa Tan

Larissa is a Junior Lawyer at Sophie Grace. Larissa assists with the preparation and review of AFSL and ACL applications, and provides ongoing compliance support to a variety of businesses in the financial services industry. Her work also involves assisting clients with AUSTRAC registration and the development of tailored AML/CTF policies. Larissa also supports senior lawyers in drafting and reviewing legal documentation.

AML/CTF Reforms

Sophie Grace can provide you with an AML/CTF Program and can assist you to tailor it to your business’ needs. We have three different options available to suit your business and finance needs.

Template Documents

You can purchase template documents from our online shop. The template is an instant download and includes prompts to help you tailor the document yourself. We have template documents for:

  • Tranche 1 Reporting Entities;
  • Item 54 Providers; and
  • Tranche 2 Entities.
Compliance Portal

Sign up to the Compliance Portal and receive the template AML/CTF Program Package, and obtain access to updated documents in light of any updates we make as new guidance or amended legislation is released. Choose between:

  • document-only plans;
  • consultation-only plans;
  • video and regulatory update plans; or
  • a combination of all three.
Tailored Documents

Sophie Grace can assist you to prepare the AML/CTF Program package based on your business’ specific requirements. Contact us to discuss further. 

Find everything you need in relation to the AML/CTF Reforms

AML/CTF REFORMS HUB

Sophie Grace Compliance Portal

The compliance portal provides various subscription plans to suit your business compliance needs. Watch our demonstration video now!

Compliance Portal

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