Compact provides a suite of services designed to assist Responsible Managers 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.
In addition to licensee reviews, adviser coaching, Responsible Managers training, tailored monthly regulatory updates, Compact also provides:
Compliance and risk management documentation review or creation
We can prepare and revise compliance and risk management documentation and processes including:
- compliance plans;
- compliance manuals;
- risk management assessment processes;
- adviser training plans;
- registers - training, breach, complaints; and
- checklists, policies and procedures.
Click here to see some of the procedures we offer.
Compliance Committee facilitation
We can organise, chair and/or participate in Compliance Committee meetings. This may include assisting with agenda items, reporting and developing action tasks.
Conference presentation and/or retreat facilitation
Conducting relevant and engaging presentations/facilitation at CPD days, conferences and retreats.
Liaison with ASIC
We provide training and assistance in using the ASIC Portal and liaising with ASIC as required on regulatory issues.
Fees
Fee structures include:
- agreed fees for specific tasks/services;
- a monthly retainer;
- hourly rates; or
- a combinations of these.
Whatever the arrangement, the fee structure will be clear and agreed upon in advance.
What should you do now?
Email us or call or visit us. We can tailor a package to suit your business' needs and budget.
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