Ongoing Compliance Solutions

Sophie Grace provides important services to your business to ensure that the regulatory requirements for your Australian Financial Services Licence (AFSL) services are met.




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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:

  • 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
  • ASIC Class Orders
  • 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.