Ever been concerned about missing an update from the government or regulators, or concerned about the impact and cost of non-compliance? We have a dedicated team of experts keeping a watchful eye on changes that may impact the superannuation industry.
In addition, we offer a wide range of services relating to risk. We have extensive knowledge and experience relating to risk and superannuation.
Compliance plan development and monitoring
- Provide assistance and training in the development and monitoring of your compliance program
- Develop and implement a Compliance Plan based on the legislative and regulatory obligations of the entity and in accordance with ISO 37301:2021 Compliance Management systems, and provide continual effectiveness monitoring
Independent reviews on operational areas
- Review the effectiveness of operational frameworks (e.g. conflicts of interest, AFS licensing obligations, provision of financial product advice, business continuity, anti-money laundering and counter-terrorism financing (AML/CTF), business processes and policies
- Independent reviews on any operational area within the financial services industry
Regulatory and legislative advice
- Provision advice on the impact of regulatory and legislative change on the product issuer and fund operations
- Provision of up to date and tailored advice on regulatory and legislative requirements
Licencing
- RSE and AFS licence applications and variations
- Responsible manager AFSL applications
Triennial reviews that meet the requirements of APRA Prudential Standards
- Triennial reviews covering risk management, conflicts of interest, insurance and investments
Risk management framework review
- Review the effectiveness of your Risk Management Framework based on the requirements of ISO 31000:2018 Risk Management and relevant regulatory and legislative obligations, including recommendations for continuous improvement and insights into the latest thinking from the regulators
Risk culture review
- Risk culture review including a written Report on our findings and recommendations for improvement
Risk management training and facilitation
- Deliver facilitated training sessions on risk management within the superannuation and financial services environment
- Risk and control identification workshop
Other services
- AML/CTF Program development and implementation
- Incident management and breach management framework development and management
- Breach, incident and complaint investigations, including recommendations for regulator reporting where significant
- Liaison with Regulators on Licensees behalf
- Development and maintenance of policies and procedures
- Document due diligence checklists and reviews
- Tailored policy, checklist, and template development
