Compliance Committee Management

Many AFS Licensees face a never-ending time and resource dilemma. They need to watch over their clients and keep their businesses strong. Yet, they have to satisfy their legal compliance obligations.  Hours and days can be spent reviewing and preparing for their quarterly compliance meetings with representatives and staff. Or, they can enlist an Acompli Consultant who is a Compliance Expert to plan and manage their quarterly compliance meetings, leaving them free to concentrate on serving their clients and growing their businesses.

 

Engaging the Compliance Committee Management service ensures the Licensee and their staff are presented with the most up-to-date compliance information that’s been customised to their business, procedures and policies. And, after the quarterly compliance meeting, your Consultant will provide updated documentation based on the results of the discussions.

Key Features

 

  Scheduling the quarterly meeting
  Notifying and reminding participants of upcoming meeting
  Preparing and distributing the meeting agenda
  Facilitating the meeting
  Providing compliance consulting relevant to meeting topics
  Recording and documenting minutes, decisions and action items
  Documenting or modifying relevant items discussed during the meeting

 

Benefits and Value

 

  The most current information affecting your compliance obligations is available to you and your team
  Meetings are planned to meet your business schedule
  All the organisation and documentation is the responsibility of your Advisor Solutions Consultant
  Your Consultant will follow up with your staff when appropriate
  You are able to concentrate on your clients and growing your business

 

Service Specifics

 

  Meetings average 4 hours each; this varies based on the subjects discussed
  Meetings are held quarterly; can be timed to align with financial quarters or aligned to meet other requirements
  Licensees with 1 or 2 Responsible Managers or Large Licensees requiring more structure and control will benefit from 
    the structured program that is customised to meet everyone's needs. 

Compliance Committee Management

Many AFS Licensees face a never-ending time and resource dilemma. They need to watch over their clients and keep their businesses strong. Yet, they have to satisfy their legal compliance obligations.  Hours and days can be spent reviewing and preparing for their quarterly compliance meetings with representatives and staff. Or, they can enlist an Acompli Consultant who is a Compliance Expert to plan and manage their quarterly compliance meetings, leaving them free to concentrate on serving their clients and growing their businesses.

 

Engaging the Compliance Committee Management service ensures the Licensee and their staff are presented with the most up-to-date compliance information that’s been customised to their business, procedures and policies. And, after the quarterly compliance meeting, your Consultant will provide updated documentation based on the results of the discussions.

Key Features

 

  Scheduling the quarterly meeting
  Notifying and reminding participants of upcoming meeting
  Preparing and distributing the meeting agenda
  Facilitating the meeting
  Providing compliance consulting relevant to meeting topics
  Recording and documenting minutes, decisions and action items
  Documenting or modifying relevant items discussed during the meeting

 

Benefits and Value

 

  The most current information affecting your compliance obligations is available to you and your team
  Meetings are planned to meet your business schedule
  All the organisation and documentation is the responsibility of your Advisor Solutions Consultant
  Your Consultant will follow up with your staff when appropriate
  You are able to concentrate on your clients and growing your business

 

Service Specifics

 

  Meetings average 4 hours each; this varies based on the subjects discussed
  Meetings are held quarterly; can be timed to align with financial quarters or aligned to meet other requirements
  Licensees with 1 or 2 Responsible Managers or Large Licensees requiring more structure and control will benefit from 
    the structured program that is customised to meet everyone's needs.