As an Australian Financial Services Licensee, we provide the compliance, governance and operational support that helps authorised advisers and advice businesses work with confidence. The perfect mix of structure and support, measured and never improvised.
Governance, compliance and operational support, each one a key ingredient in doing advice well. Poured with purpose, in the right order.
The House Menu
Licensee support · Served all year
Licensing and Authorisation
Appointment, authorisation and ongoing oversight of advisers and advice businesses, in accordance with applicable requirements.
Compliance and Governance
Policies, procedures and risk management frameworks to support your regulatory obligations.
Monitoring and Supervision
Advice file reviews, compliance audits and ongoing monitoring to support appropriate standards.
Training and Professional Standards
Support for adviser education, competency and continuing professional development requirements.
Administration and Remuneration
Administration of fees and commissions in accordance with applicable arrangements.
Complaints and Dispute Resolution
A clear and fair process for handling complaints, including access to AFCA where eligible.
Every measure documented. Every pour accounted for. That is what a licence is for.
Tell us a little about you and your practice, and we'll be in touch. Here's to the next chapter.