Licensee Reviews
Licensees have a legal responsibility to ensure that they are monitoring and supervising activities of their Representatives as well as their own. Regular surveillance reviews of the processes and activities of both the Licensee and their Representatives assist in identifying any potential compliance breaches or operational areas that could be improved.
Acompli can undertake Reviews for both the Licensee and their Representatives. Our approach is consultative and viewed as an educational tool rather than a policing or fault finding exercise.
Work regularly undertaken for AFS Licensees includes the following:
Extensive Licensee examination
Pre-appointment due diligence on Representatives
Supervision reviews
Benefits and Value
Acompli Reviews benefit your business by:
Legislative requirements addressed
Supervision obligations monitored
Peace of Mind – regularly scheduled reviews result in a Licensee managing proactively rather than reactively
Time and cost effective; saves company resources reducing overall expenses
Expertise is always up-to-date
Systematic solution to significantly reduce complaints
'Health Check for Your Company'
Friendly and educational
Third party approach allows for independent assessment and management control
Licensee Reviews
Licensees have a legal responsibility to ensure that they are monitoring and supervising activities of their Representatives as well as their own. Regular surveillance reviews of the processes and activities of both the Licensee and their Representatives assist in identifying any potential compliance breaches or operational areas that could be improved.
Acompli can undertake Reviews for both the Licensee and their Representatives. Our approach is consultative and viewed as an educational tool rather than a policing or fault finding exercise.
Work regularly undertaken for AFS Licensees includes the following:
Extensive Licensee examination
Pre-appointment due diligence on Representatives
Supervision reviews
Benefits and Value
Acompli Reviews benefit your business by:
Legislative requirements addressed
Supervision obligations monitored
Peace of Mind – regularly scheduled reviews result in a Licensee managing proactively rather than reactively
Time and cost effective; saves company resources reducing overall expenses
Expertise is always up-to-date
Systematic solution to significantly reduce complaints
'Health Check for Your Company'
Friendly and educational
Third party approach allows for independent assessment and management control