Navigating the Arrangements for Financial Advisers: The Experienced Provider Pathway

The “Experienced Provider Pathway” has been put in place to reshape the qualification requirements for existing financial advisers. The pathway removes the tertiary education requirement for existing financial advisers with a decade or more of experience and a clean disciplinary record. Experienced Provider Criteria To qualify as an Experienced Pro...

Unlock this article and more helpful resources by signing up for our Subscription Portal.​

Sign up to access a free trial of our Regulatory Updates Subscription Plan or login to your account below.
Picture of Alicia Pevely

Alicia Pevely

An integral member of the Sophie Grace team since 2012, Alicia has extensive experience in relation to financial services law, consumer credit law, regulatory matters and ASIC investigations. Working closely with her clients, Alicia has maintained a significant emphasis on AFS and credit licensing and liaising with ASIC. As General Manager, Alicia has oversight of all licence applications and provides advice and support in relation to more complex applications.

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

Recent Updates

Read more

Contact Us

We will get in touch as soon as possible

=
UNlock this article with our

free 1 month triaL

Sign up to our Regulatory Updates and Videos subscription plan and receive 1 month free with no lock-in obligations (if cancelled prior to the first billing date).

Sign up