What happens if your Key Person leaves the business?

During a licence application or variation, ASIC has the discretion to impose a Key Person condition on an Australian Credit Licence or an Australian Financial Services Licence where the licensee is dependent upon a particular Responsible Manager to demonstrate organisational competence in some or all of the authorisations listed on the licence. Whe...

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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.

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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