Are you a Responsible Manager (formerly called a Responsible Officer) of an Australian Financial Services Licensee (AFSL)? We can help you meet your day-to-day responsibilities.
Some things we can do to help you include:
Legal Services
Holley Nethercote provides legal services for Responsible Managers / Responsible Officers, including:
- Corporations Act, ASIC Act and other regulatory obligations advice;
- preparing, amending, interpreting and advising on authorised representative agreements;
- developing and advising on corporate governance systems;
- designing or providing legal "sign off" on Financial Services Guides, Statements of Advice and Product Disclosure Statements; and
- other business law services.
Licensee Reviews (Audits)
You don't know what you don't know. Click here to read more about our licensee reviews/Audits.
More Compliance Services
Our associated compliance business, Compact - Compliance & Corporate Training can provide you with more support. Compact can help you as a Responsible Officer and/or Responsible Manager to comply with your obligations by providing:
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