Compliance Services

We are specialists in the provision of the full range of advice, documentation and review in relation to the financial services industry.

Our compliance services include the following:

1. Provision of compliance advice and guidance regarding the implementation of the requirements of legislation and regulation, including the following:

• Corporations Act/Regulations
• Superannuation legislation
• Privacy Act & FPC guidance and information material
• FTRA/Anti-Money Laundering & Counter-Terrorism Financing Act & AUSTRAC guidance material
• Trade Practices Act
• Uniform Consumer Credit Code
• ASX Operating Rules
• SFE Operating Rules
• ASIC Class Orders and guidance materials
• APRA Circulars and Operating Standards
• Occupational Health & Safety requirements

2. Provision of one-off or regular compliance ‘health’ checks or gap analysis to review and report upon compliance with applicable key legal and regulatory obligations.

3. Implementation of compliance monitoring programmes and reports.

4. Provision of comprehensive policies and procedures documentation

5. Provision of advice and guidance regarding the application of industry standards and market conventions.

6. Provision and review of Compliance Plans for operators of registered schemes.

7. Provision and review of, and advice/guidance in relation to, Corporate Governance procedures, requirements and disclosures.

8. Provision and review of Codes of Ethics and Conduct, and assistance with implementation and development of compliance culture within organisations.

9. Provision of locums and short term contractors.

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