Compliance Services

Compact Compliance & Corporate Training offers a range of other compliance services designed to keep you and your business out of court. 

Coaching

A developing area has seen Tim and Grant acting as coaches or sounding boards to organisations grappling with the numerous compliance requirements they face, particularly in the financial services sector. These have included:

  • the training requirements set out in ASIC Policy Statement 146;
  • the Corporations Act 2001
  • the Financial Services Reform Act 2001;
  • Policy Statements and guidelines released by ASIC;
  • the Privacy Amendment (Private Sector) Act 2000;
  • the Commonwealth Criminal Code.

Training

Corporate Potential Pty Ltd trading as Compact - Compliance & Corporate Training has been established to conduct training for companies in law related areas that are relevant to their industry such as:

  • financial services
  • risk management
  • insurance law
  • trade practices
  • compliance
  • contracts
  • management and the law
  • alternative dispute resolution
  • employment law
  • credit management/debt recovery
  • privacy
  • strategic procurement
  • workplace law

See more details about some of the courses we offer.

AFS Licensee compliance support

Compact provides a suite of services designed to assist Responsible Officers of AFS licences in their day-to-day responsibilities, particularly in relation to their compliance obligations.  Our services are designed to provide you with peace of mind. 

See more details about our Responsible Officer compliacne program.

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Holley Nethercote employees and partners

If you are a responsible officer, our associated legal practice, Holley Nethercote Commercial Lawyers, offers a compliance package for Responsible Officers and their AFS licensee businesses.

Click here to find out more, or read a summary responsible officer liability and responsibilities, written by Sam Kimpton, a solicitor of Holley Nethercote Commercial Lawyers.