Limited Licensees and Accountants

Accountants

Whether you’re an accountant impacted by financial services licensing (be it limited licensing, a financial services arm or a corporate finance business), or you’re about to be impacted by the new AML/CTF requirements, we have a range of off the shelf solutions or can tailor something to meet your needs.

For the last 25 years, we have been assisting the professional accounting bodies (such as the CPA) with guidance and resources for their members.  In November 2019, we acquired the consultancy business – Licensing for Accountants, allowing us to expand the services and support we provide licensed accountants (including those who are applying for or wanting to vary a Limited Licence).

We have developed industry guides for the major professional accounting bodies and developed a suite of unlicensed accountant support materials for both the professional bodies, and other organisations that provide support to the accounting industry.

Accountants are now being hit with another major regulatory reform – AML/CTF.  Drawing from our experience in implementing practical solutions for accountants with licensing, we are now leveraging that expertise to provide a comprehensive range to develop simple, practical solutions to assist you with these new reforms.

How we can help

Compliance with AML/CTF
Guidelines, tools and policies for licensed accountants, and integrated practices
Licensing advice and assistance for corporate finance teams
Resources and guides for unlicensed accountants

Advising on cryptos

Financial product advice and cryptos.  What can you say?  What can’t you say?  We recently did a webinar with Caleb & Brown on this topic, which is available on the HN Hub.  We advise traditional dealer groups, industry bodies and product providers on what they can and can’t say about cryptos and crypto-powered product offerings.  We also advise crypto exchanges and the wider crypto industry on when advisory activities may stray into the realm of financial product advice, which triggers the need for an Australian Financial Services Licence.

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Accountants

Useful resources for Accountants

WEBINAR: Breach Reporting
WEBINAR: Breach Reporting

Identifying and reporting common incidents and breaches
In this highly practical webinar, we’ll take you step-by-step through the Incident and Breach reporting process using some common situations that we’ve come across.

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Recent Insight
Recent Insight
How to be a Responsible Manager – Competence & Responsibilities

The Responsible Manager (RM) is one of the most important positions that an Australian Financial Services (AFS) Licensee has to maintain.  They are the person (or, more likely, persons) who…

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Blog Update
Blog Update
Establishing an SMSF – 7 reasons to use a corporate trustee

Like most professional advisers, we are strongly of the view that a self-managed superannuation fund ("SMSF") should have a corporate trustee. This article looks at the trustee requirements for SMSFs…

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