Risk & Compliance

The most successful businesses have their risk and compliance arrangements in order and can confidently stand behind them in the event of an audit.

Use our expertise and knowledge of industry leading compliance practices to update or overhaul your arrangements.

Contact Us

There are many off the shelf providers. That’s not our game.

We provide tailored solutions to clients which withstand scrutiny from within the
business as well as ASIC and other regulators.

A deep dive into our risk and compliance stack



  • Establishing policies and procedures
  • Establishing compliance and reporting framework

Getting started

  • Advice on regulatory obligations
  • Assistance with regulatory registrations and renewals
  • Reviewing advice templates
  • Assistance in engaging third parties, such as custodians, trustees, professional indemnity insurers, responsible managers and software providers


  • Induction training to advisers and responsible managers
  • Assistance in appointing representatives and distributors


Monitoring & supervision

  • Assessing compliance with policies and procedures and broader compliance framework
  • Updating policies and procedures to reflect current laws and ASIC guidance

Day-to-day activities

  • Advice on day-to-day compliance queries
  • Reviewing marketing and advertising material
  • Advice on changes in laws and regulations
  • Reviewing advice templates
  • Due diligence and review of outsourced providers
  • ASIC and AUSTRAC notifications
  • Responsible manager and adviser training


  • Chairing compliance meetings or acting as an independent member or observer
  • Assistance with board and committee reporting


Breaches & complaints

  • Assessing breaches and complaints
  • Assistance with breach reporting and notifiable data breach assessments
  • Assistance in responding to client complaints and AFCA disputes
  • Assistance with regulatory investigations and audits (ASIC, OAIC, AUSTRAC, TPB)

Annual reviews

  • Advice file reviews
  • Responsible manager skills and experience reviews
  • AFSL / ACL audits
  • PDS / IM reviews
  • Board and compliance committee performance reviews

Contact Us

We’re always talking to businesses about how we can help them get better and stay ahead of the pack.

Email, ask a question or book a time to talk with a member of our team and we’ll get back to you as soon as possible.

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