What Compliance fp can provide
We have a range of services that we tailor to suit the relevant business of the Licensee and its advisers
Applications to the Australian Securities and Investments Commission for a licence can be time consuming and inhibit the conduct of business. We work with you to develop the relevant material and complete the online application as well as assist with any requisition from the ASIC.
Some businesses don't have the financial capacity to hire a full time compliance resource or the necessity for a full time compliance resource. If it is allocated to a member of staff are they qualified for the role and do they have no conflicts considering it is a part time role. Consideration should be given to outsourcing the function to specialists which will have the benefits of a variable cost based, no conflicts resulting in an independent view.
Due diligence is an import process when recruiting a new adviser, buying a client base and when transferring a client base to another entity. The Licensee should conduct its own investigations using specialists for the best results so you receive a dispassionate view.
CFP can conduct the compliance element and has access to an entity that can investigate the financials
Site powered by Weebly. Managed by eCompanies