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Australian Financial Services Licence (AFSL)

Getting Started with Sophie Grace

Read below to get more information on how Sophie Grace can help you with your AFSL Application

Do I need an AFSL?

Each AFSL is different, with authorisations specified according to the business you will operate. You will need to determine which:
1. Financial Services;
2. Financial Products; and
3. Client Types (wholesale/retail) 
Are applicable to your intended activities

AFSL Application Process

1. Determine which authorisations you need;
2. Choose your Responsible Managers;
3. Draft your proof documents for ASIC; and 
4. Respond to ASIC Queries and prepare additional documents.

AFSL Package Options

We offer a range of support options for your business needs.
Options include:
1. Full Service;
2. Templates; and
3. Review Services

The journey to get your financial services business started.

What are the key considerations and options?

 

How it works and how Sophie Grace can help you

 

Policies and Procedures to help monitor and implement your obligations

 

Keeping your AFSL compliant with regulations

Chapter 7 of the Corporations Act 2001 (Cth) requires an entity to hold an AFSL if the entity carries on a business involving the provision of a financial service and/or a financial product.

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Sophie Grace can assist you with all stages of obtaining an AFSL and will help create a package to best suit your needs.

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Australian Financial Services Licence holders have a variety of obligations which must be documented and adhered to in order to ensure compliance with the law. Many of these obligations can be often overlooked during the course of running a business.

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AFSLholders are required by law to implement an array of compliance measures. Sophie Grace understands the frustration associated with a “one size fits all” approach. We will design your procedures so that they are in line with ASIC’s expectations, fit for use and appropriate to the size, structure and activities of your financial services business.

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Application Templates

Post Application Support

With plenty of experience assisting businesses to maintain their AFSL after they successfully receive it from ASIC, we have compiled some of our most popular resources so you know what to expect once you’re up and running.

Ongoing Compliance Requirements

Financial Products and Services

Procedural Documentation

What you can expect from start to finish

Compliance Portal

Find out the different options for how Sophie Grace can assist you

Legal Services

Draft disclosure documents

AML/CTF

What you can expect from start to finish

AFSLs granted and varied in 2023
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AFSLs obtained over time
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AFSLs supported
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Years of experience
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Portal subscriptions
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Check out our YouTube Channel for our AFSL Series

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Sophie Grace Compliance Portal

The compliance portal provides various subscription plans to suit your business compliance needs. 

Testimonials

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