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Compliance Services

Sophie Grace can provide the following important services to your business to ensure that the regulatory requirements for financial services are met: AFSL Applications and Variations Australian Credit Licences (ACL) Compliance plans and management framework Compliance reporting - this can be monthly or quarterly as your business requires Compliance Committee membership / External Director Compliance procedures and policy documents Compliance training Anti-Money Laundering / Cou [...]
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Compliance Services

Sophie Grace can provide the following important services to your business to ensure that the regulatory requirements for financial services are met:

  • AFSL Applications and Variations
  • Australian Credit Licences (ACL)
  • Compliance plans and management framework
  • Compliance reporting – this can be monthly or quarterly as your business requires
  • Compliance Committee membership / External Director
  • Compliance procedures and policy documents
  • Compliance training
  • Anti-Money Laundering / Counter-Terrorism Financing (AML/CTF), AUSTRAC and FTRA
  • Corporate Governance
  • Independent and external compliance counsel
  • Risk management systems
  • Conflicts management systems
  • External compliance audits
  • Privacy Act
  • Trade Practices Act
  • ASX Operating Rules
  • SFE Operating Rules
  • ASIC Class Orders
  • Occupational Health and Safety (OH&S)
  • Code of Conduct and Code of Ethics implementation
  • Company Secretarial