Rigorous testing of compliance frameworks is paramount in this day and age and that is why Fiduciam applies a comprehensive process in assessing your compliance systems, taking into consideration the size and nature of your business. Our review includes:
  • Review of the current state of your AFSL with relevant policies and behavioural compliance, in accordance with s912A of the Corporations Act.
  • Review of your behavioural compliance and processes against regulatory requirements and your specific authorisations and conditions.
  • Compliance Program.
  • Review of your Responsible Managers.
  • Appointment and training of Representatives.
  • Monitoring and supervision of Representatives.
  • Breach management.
  • Risk management.
  • Conflicts of interest management.
  • Dispute resolution & PI Insurance.