Sophie Grace will conduct the external compliance review at your office. Depending on the size of your organisation, this could take half a day or several days.
Suggested areas of external review are for AFSL holders are listed below, however areas of focus can be tailored according to the requirements of your business.
- Compliance Governance;
- Compliance Plan and Policies;
- Compliance Monitoring / Internal Audit (if any);
- Compliance Training;
- Conflicts of Interest;
- Breaches & Incidents;
- Training and Competence of Representatives;
- Risk Management;
- Outsourcing processes.
If you would like to obtain further information or assistance, please contact Sophie Grace directly.