Should you be conducting more stringent monitoring and supervision of your authorised representatives? – Key take-aways from the Lanterne Case

In proceedings brought by ASIC, Lanterne Fund Services Pty Ltd was ordered to pay a $1.25 million penalty by the Federal Court after it failed to comply with multiple obligations of its Australian Financial Services ("AFS") Licence. If you are an AFS Licensee or Australian Credit Licensee ("Licensee") which authorises representatives to provide fin...

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Victoria Pasquale

Victoria provides support to our compliance and legal teams and assists our clients with the preparation and collation of documentation required for AFS and credit licence applications. She also supports senior staff by providing assistance to clients with the maintenance of their licences through the preparation of compliance policy documents and ongoing compliance support.

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.

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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.
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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:

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  • video and regulatory update plans; or
  • a combination of all three.
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Sophie Grace can assist you to prepare the AML/CTF Program package based on your business’ specific requirements. Contact us to discuss further. 

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