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.

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

Establish

Framework

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

Training

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

Manage

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

Governance

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

Resolve

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

News

Trends and insights from our team

AFSL Applications: A Comprehensive Guide

The AFSL Application Process: A Comprehensive Guide The process of obtaining an Australian Financial Services Licence ...

New AFSL Breach Reporting Regime. It’s Coming.

AFSL holders will be subject to the new breach reporting regime from 1 October 2021. The ...

AFSL Compliance

Being a ‘compliant business’ is what every AFSL holder wants. However it’s not that easy and ...

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.

Email

info@tecne.com.au

Book an Appointment

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