Our team has conducted a number Licensee Reviews for different AFS licensees, as well as been engaged to conduct a number of Adviser and File Reviews.
As lawyers, we take a thorough approach based on the law, ASIC guidance, and our experience with other licensees, and regular interactions with ASIC and its stakeholder team.
Different Licensee Reviews we offer to suit your business’ needs
This review will look at your compliance with the financial services laws and your AFSL requirements.
This review involves high-level issues-spotting against specific risk areas.
This review is where AFS licensees have been approached by ASIC to appoint a ‘consultant’ to conduct specific types of reviews.