Australian Financial Services License (AFSL)
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Policies and procedures
- Appointment, Training, and Termination: Responsible Managers and Representatives
- Conflict of Interest Management
- Breaches and Breach Reporting
- Risk Management
- Promotional Material
- Staff Trading Policy
- Dispute Resolution
- Outsourcing
- Registers (eg training register, complaints register, breach register etc)
Ongoing AFSL Compliance Solutions
- Staff Compliance Inductions, Refreshers and Further Roles-based Training
- Representatives Monitoring and Supervision, and Reporting to the Compliance Committee and/or the Board of Directors
- Monthly or Quarterly Compliance Meetings
- AFSL Compliance Policy Review and Updates
- Liaison with Regulators
- Assisting with the Maintenance of AFSL Compliance Registers
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Contact info
We are open for new projects!
Online Enquiry
Any questions or business offers? We are looking forward to hear from you!
Call us
International: +61 2 9188 2999
Taiwan: 02 5594 4927
Australia: 1300 729 171
China : 950 4059 5638
MAIN OFFICE LOCATION
Level 18, 799 Pacific Hwy
Chatswood NSW 2067
Chatswood NSW 2067