AFSL Compliance & Support That Drives Growth
If you’re already self-licensed or a new small licensee, we provide a range of support services designed to keep you focused on growth and ongoing management of your business.
With deep insights from operating within the licensee environment, we understand the intricate balance of commercial value and risk that advisers bring to your business. We’ll explore these dynamics during your application briefing, drawing on our extensive experience in licensee operations, regulatory management, and professional indemnity negotiations.
We offer practical guidance for self-licensed operations and valuable industry connections – from PI brokers to RegTech solutions. Our approach combines deep regulatory knowledge with real-world business understanding, ensuring you receive guidance that’s both pragmatic and results driven.
When you partner with us for external oversight, you can transform your business with strategic guidance that draws on our extensive licensee management experience, and practical support that goes beyond just compliance services.
Meeting Your Licence Obligations
We help protect your licence and find a healthy balance between meeting obligations and maintaining focus as a practitioner. We support licensees in these areas, whether your AFSL is well-established or recently granted.
Transition
- Transition management from your previous licensee to your own AFSL
- Onboarding documents
Licence Management
- Applications and variations of AFSLs
- Appointments of responsible managers
- Referral to PII brokers and company auditors
Compliance Support
- Financial advice audits
- Compliance committees
- Adviser coaching
- CPD training content, facilitated workshops, conferences, professional development days, and adviser forums
- Dispute resolution
- Establishing professional standards and compliance frameworks for new licensees
- Code of Ethics standards monitoring
- Remediation program design and execution
- Review and design of supervision and monitoring programs
Ongoing Support
- Reminders about regulatory deadlines
- Assistance with regulatory reporting for AFCA, ASIC (IDR, CRIS & CSLR, reportable situations, financial lodgements), and AUSTRAC
- General business consulting
- Ad hoc queries
Licensee Support Pricing
Sole-practitioner AFSL
Ideal for a sole practitioner operating their own licence. Helps new or early growth licensees to build a solid compliance framework. Balance practitioner demands with running your own AFSL.
✓ Compliance framework review
✓ File audits (single adviser)
✓ Compliance committee meetings
✓ Monthly support & coaching
✓ Sole practitioner
Micro AFSL
The all-in-one support package that is perfect for a micro AFSL that wants external oversight without fuss and complications.
✓ Compliance framework review
✓ File audits (several advisers)
✓ Compliance committee meetings
✓ Monthly support & coaching
✓ Several advisers
Small AFSL
Hands-on assistance to design a compliance framework, risk controls and enhance management. Practical and common-sense compliance outsourcing for small groups.
✓ Compliance framework review
✓ File audits (multiple advisers)
✓ Compliance committee meetings
✓ Monthly support & coaching
✓ On-call access to Zaju & Co
✓ Multiple advisers