Ongoing Compliance Solutions

Sophie Grace provides important services to your business to ensure that the regulatory requirements for your Australian Credit Licence (ACL) services are met.  We assist:

  • loan/credit issuers (whether small or large),
  • loan arrangers (brokers), and
  • loan advisers

to meet their obligations.

Learn more

Ongoing Compliance Solutions

Sophie Grace can provide the following important services to your business to ensure that the regulatory requirements for financial services are met:

  • AFSL Applications and Variations
  • Australian Credit Licences (ACL)
  • Compliance plans and management framework
  • Compliance reporting – this can be monthly or quarterly as your business requires
  • Compliance Committee membership / External Director
  • Compliance procedures and policy documents
  • Compliance training
  • Anti-Money Laundering / Counter-Terrorism Financing (AML/CTF), AUSTRAC and FTRA
  • Corporate Governance
  • Independent and external compliance counsel
  • Risk management systems
  • Conflicts management systems
  • External compliance audits
  • Privacy Act
  • Trade Practices Act
  • ASX Operating Rules
  • SFE Operating Rules
  • ASIC Class Orders
  • Occupational Health and Safety (OH&S)
  • Code of Conduct and Code of Ethics implementation
  • Company Secretarial

Compliance obligations must be constantly satisfied, whether on a monthly, quarterly or yearly basis.  With this in mind, Sophie Grace can provide your business with ongoing compliance solutions.  This can involve, but is not limited to:

  • Regular review and update of policies and registers
  • Preparation of regular compliance reporting to Compliance Committee or Board
  • Creation of a compliance calendar to evenly distribute the compliance workload and make it easier to meet obligations
  • Lodging reports to regulators as required
  • Responding to all ad hoc compliance queries
  • Provision of compliance training to employees, including testing if required.

If you would like to obtain further information or assistance, please contact Sophie Grace directly.