Compliance Solutions

Acompli offers a range of compliance services that are flexible, reliable and tailored to an organisation’s requirements. Your organisation can have the opportunity to have a compliance expert as part of your team.

 

Legislative factors can positively or negatively impact on your industry. The legal obligations of AFS Licensees are:

 

  Conduct, disclosure, provision of financial services,
  Competence and knowledge of responsible officers, 
  Training and competence of representatives,
  Compliance and risk management,
  Dispute resolution, and
  Compensation arrangements.

 

Our services include:

 

  Compliance Service Programs
  Licensing
  Compliance Committee Management
  Licensee and Representative Reviews
  Pre-Application Assessment