AFSL Compliance Retainer
A fixed monthly retainer that gives AFS Licensees an outsourced compliance team – ongoing monitoring, compliance advice, policy updates, training and ASIC lodgement support, without the cost of an in-house compliance officer.
What is an AFSL Compliance Retainer?
Holding an Australian Financial Services Licence (AFSL) brings continuing obligations under the Corporations Act and ASIC regulatory guides — from breach reporting and complaints handling to financial requirements, training and record-keeping. Missing one can lead to licence conditions, penalties, suspension or cancellation.
Our AFSL Compliance Retainer is a retainer-based service where our licensing compliance consultants act as your outsourced compliance function. Instead of engaging us project by project, you pay a fixed monthly fee and we continuously monitor, advise and keep your compliance program current as your business and the law change.
It suits both wholesale and retail AFS Licensees, newly licensed businesses that have just obtained their AFSL, and established licensees who want predictable compliance costs.
What is Included in your Retainer?
Ongoing support across the obligations ASIC expects every AFS Licensee to meet.
Compliance Monitoring & Oversight
Scheduled reviews of your obligations, registers and processes, with clear actions when something needs attention.
On-Call Compliance Advice
Ask questions as they arise — new products, marketing, client scenarios — and get timely practical answers.
Policy Updates
Your compliance program, policies and registers kept current with regulatory change and changes to your business.
Breach Reporting Support
Help assessing incidents and preparing reportable situation notifications to ASIC within the required timeframes.
Lodgements & Compliance Calendar
A tailored calendar with reminders for ASIC lodgements, audits, reviews and other recurring deadlines.
Training & Committee Attendance
Compliance training for responsible managers and staff, and attendance at your compliance committee meetings.
AFSL Compliance Retainers
Fixed monthly fees. Choose the level of support that matches the size and complexity of your AFSL.
Advisory
For smaller or wholesale-only licensees with a simple authorisation.-
Compliance Program & Updates
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Compliance Calendar & Lodgement Notifications
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Compliance Advice (4 Enquiries/month)
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Quarterly Compliance Monitoring & Reporting
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Quarterly Newsletter
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Disclaimers & Website Review
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Alerts on Regulatory Updates
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Assigned Compliance Consultant
Integrated
For growing licensees, including those with retail clients.-
Everything in Advisory
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Compliance Advice (8 Enquiries/month)
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Monthly Compliance Monitoring & Reporting
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Monthly Compliance Committee
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2 Training Sessions Annually
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Breach Reporting & Complaint Handling Support
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Annual Risk Assessment Review
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Annual Financial Services Guide Review
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1 File Review Quarterly
Embedded
For responsible entities, platforms and complex licences.-
Everything in Integrated
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Compliance Advice (Unlimited, Fair Use)
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4 Training Sessions Annually
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1 File Review Monthly
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Drafted & Managed Financial Services Guide
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Regulator Reporting on your Behalf
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Liaising with Regulators on your Behalf
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AFSL Audit Management
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Service Provider Due Diligence Management
Need something different? We can tailor a retainer to your specific needs.
*The prices listed above for each retainer tier are utilised in most cases, but are not definite and may differ depending on an AFS Licensee’s particular situation. Each retainer client enters into a Services Agreement with Adria Compliance.
*Each retainer tier requires a minimum term of 1 year.
Types of Businesses We Assist
Our Process
Related Industries
Helpful Insights
New AFSL Exemptions for Foreign Financial Service Providers in Australia
AFSL Requirements for Crypto Exchanges in 2026
AFSL Crypto Requirements and ASIC’s Info Sheet 225
Testimonials
We highly recommend Dario to anyone needing assistance navigating the requirements and the complexities of obtaining an Australian Credit Licence. Dario made an overwhelming experience seamless and stress-free. A BIG thank you to Dario and the entire team at Adria Group.
Contact Us Today.
Receive a response within one business day.
Our Details:
- [email protected]
- 1800 955 816
- 388 George Street, Sydney NSW 2000
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