Our team has deep experience in this space from both a legal and advice perspective.
Due to our involvement in this sector with regulators, professional associations, licensees and advisers, we have developed the HN Hub, an online portal with self-service compliance policies and practical tools, as well as live and play-on-demand online training content.
How we can help
- Apply for or vary your Australian Financial Services Licence
- Set up, maintain or improve your compliance policies and procedures
- Set up or review your disclosure document templates (e.g. FSGs, SOAs and ROAs)
- Draft shareholder agreements, including Corporate Authorised Representative equity agreements and AFSL-specific employment agreements
- Prepare and review AML/CTF programs and procedures
- Conduct Licensee Reviews and ASIC Audits for your AFSL
- Participate in Compliance Committees