AFSL Compliance

We support AFS Licensees across all sectors in maintaining compliance with their obligations under their AFSL.

Overview

Australian Financial Services Licensees (AFS Licensees) are subject to a wide range of complex rules and regulations that significantly impact their business operations and may place a substantial strain on the ability to successfully grow their business.

Our licensing compliance consultants have in depth expertise assisting financial services businesses across all sectors in maintaining compliance with their obligations as an AFS Licensee. Irrespective of whether you provide financial services to wholesale or retail clients, we can assist all types of financial services businesses with comprehensive AFSL compliance services.

Implementing processes to maintain compliance with your obligations as an AFS Licensee may seem like a significant strain on the operations of your business, however, our licensing compliance consultants have a wealth of experience assisting all types of AFS Licensees in continuously meeting their obligations on an ongoing basis and holding your hand at all times to ensure that processes are simplified and stress-free, while maintaining affordable fixed-fee pricing.

Types of Businesses We Assist

Responsible Entities, Wholesale Trustees & Investment Managers
Financial Planners & Wealth Managers
Corporate Advisers & Investment Banks
Payment Service Providers
Insurers & Insurance Brokers
MDA & SMA Providers, Platforms & Wraps
CFD & Other OTC Derivative Providers
Crowdfunding Platforms & Marketplace Lenders
Claims Handling & Settling Service Providers
Foreign Financial Services Providers
Accountants

Our Process

Step 1:

Consultation & Engagement

Have a free initial consultation with you to obtain a better understanding of your circumstances, and based on such, advise you on all relevant requirements and processes. Accordingly, provide you with a fixed-fee proposal and execute a services agreement.

Step 2:

Program Preparation

Once the engagement has proceeded, we will begin preparing all the relevant compliance documentation including plans, policies, registers, reports, calendars and other relevant documentation.

Step 3:

Program Implementation

Once the compliance documentation has been provided to you, we will assist you with implementing the program which includes holding a meeting with you to ensure all initial requirements are met and the program is operating effectively.

Step 4:

Ongoing Support

With the program effectively implemented, our extensive ongoing support will be provided to you which includes continuous monitoring and oversight with compliance advice, reporting, policy updates, lodgement notifications, training and committee meeting attendance.

Related Industries

Funds Management

Venture Capital

Wealth Management

Corporate Advisory

Payments

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FinTech

Insurance

Real Estate

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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.

Bmoney Finance Bora Tuncoglu

Adria Group provided us with professional services to assist us in achieving our own AFSL and exceeded expectations. After seeing the value Adria Group provided to us, we would confidently say we would not have been able to succeed without them.

Redwood Financial Planning Ryan Humphries

Adria Group professionally and efficiently guided me to what I need legally in starting my own small business. They made the complex process simple and easy to understand and allowed for us to getting operating quicker. I would not be going anywhere else for future needs.

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