Australian Financial Services Licence (AFSL) Applications & Variations

Applying for an Australian Financial Services Licence with ASIC can be a very daunting process, especially if you’ve never been involved in the application process before.

Ways we can help you

  • Determining the appropriate authorisations needed for your AFSL
  • Assessing potential Responsible Managers against ASIC’s RG 105 requirements
  • Preparing and processing the e-licensing application on your behalf
  • Assisting with preparing the numerous proofs required by ASIC (e.g. details of organisational expertise and Responsible Managers, compliance arrangements, risk management, etc.)
  • Providing guidance and plain English instructions on proofs that must be prepared by you
  • Reviewing an application prepared by you but not yet submitted to ASIC
  • Acting as point of contact with the ASIC assessor considering the application.

AFSL Application / Variation Packages

While we would love to provide a standard pricing for AFSL applications and variations, after preparing hundreds of applications, we realise that standard pricing doesn’t work.  Instead, we provide a tailored quote for our AFSL applications.  Factors we consider in setting our price include:

  • The authorisations being sought
  • The number (and experience) of responsible managers you nominate
  • The amount of support you are seeking to complete the application and supporting proof documents
  • Whether you need access to a Compliance Manual

Contact us to request a quote

Obtaining an AFSL

Hear from one of the partners at Holley Nethercote, Paul Derham, about what’s involved in obtaining an AFSL and the 4 key decisions you need to make before you commence the process.

Useful resources

Webinar
Webinar: Outsourcing: How you comply with an obligation without performing the function

In this webinar, Holley Nethercote's Lawyer, Alexa Bowditch, and General Manager, Kath Bowler will explore the challenges with outsourcing.  Each of our topical webinars considers: What you need to know What you need…

Blog update
Current ASIC trends in AFSL and ACL applications and variations

Some of you reading may already hold a licence issued by ASIC, be it an AFSL, an ACL or both. If you’re not looking to set up a new business…

Responsible Manager Training
AFSL - Responsible Manager Workshop (Introduction)

Our half day course has been designed to provide you with an overview of the role of Responsible Managers, and how they fit within the broader regulatory framework.  The sessions…