Licensing

Work regularly undertaken by Acompli for Licensees and potential Licensees includes the following:

 

  Identification of licence authorisation requirements
  Identification, development and implementation of appropriate policies and procedures
  Coordination of the licensing process and acting as the regulatory liaison

 

Acompli has developed a highly effective Workbook system designed to enable the Licensee to understand and prepare all the documentation required that now forms part of a Licensee’s responsibilities. Each Workbook follows a logical progression.  Commencing with ASIC requirements and followed by a series of related questions, Workbooks culminate in illustrated samples and templates which are then tailored to the specific Licensee.

 

The following Workbooks have been developed as part of the Acompli Workbook Series:

  Business Overview
  Organisational Expertise
  Financial Requirements/Compensation/Arrangements/PI Insurance
  Authorised Representatives and Training
  Compliance Arrangements/Dispute/Resolution/Research
  Technological Resources
  Human Resources
  Risk Management
  Managing Conflicts of Interest

 

Acompli works with individual prospective Licensees and assists them in completing the Workbook Series. After input from the Licensee, Acompli prepares the documentation and presents it to the Licensee for final approval.

 

The licence application is then completed and all necessary proofs and documentation to support the application are prepared.  These are based on the information identified in the Workbook Series.

 

Acompli AFS Licence Workbook Series benefits:

 

  Address all legislative requirements
  Timely and organised
  Cost effective – minimises resources required
  Peace of mind – documentation is prepared right the first time
  Time effectiveness
  Experience and expertise – over 150 licences and counting!