Our Services

FSC work within the business of each of its ASIC and APRA Licensee clients to develop an effective compliance framework. This includes monitoring, reviewing and reporting on:

• Organisational competence (human, IT and financial)
• Compliance and supervision obligations
• Representative and call centre monitoring
• Training requirements
• Due diligence of business documents
• Dispute resolution procedures
• Breach management
• Compensation and insurance arrangements
• Maintenance of registers
• Monitoring of service providers
• Risk management processes
• Privacy

FSC assists new and established licensees with:

• Implementing compliance calendars and checklists
• Ongoing compliance education
• Board and Trustee training
• Facilitating the establishment of a financial planning capability
• Undertaking Board assessments
• Applying for or varying an AFSL or RSE licence
• Developing policies and procedures
• Writing compliance manuals