Who We Are
Compliance FP is a small business specialising in compliance for financial planning businesses. As a small business it can appreciate the pressures on small business for efficiency and profitability. It also understands the nuances of large corporate.
We work with you for a quality outcome that benefits all, you, your clients and us.
Our best source for new business is a referral from satisfied clients.
While the company has recently been established Michael Rowles the Managing Director has more than 38 years experience in financial services interacting with financial advisers, planners and Licensees. More than the last 20 years have been spent helping entities providing financial advice to develop policies and processes for effectively complying with the legal requirements as well as operating efficiently. He has also assessed Licensees and advisers against the requirements.
Michael has worked with varying sizes of licensees from one man bands through to large entities that are part of the big Five providers. Furthermore he has experience in assisting Licensees who have entered into Enforceable Undertakings or additional Licence Conditions as a result of ASIC's intervention.
He holds a Masters in Financial Services Law From Macquarie University.
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