Regulatory Compliance

Providers of financial products to any Australian resident - regardless as to where the provider is based - are required to hold an Australian Financial Services Licence (AFSL). StratEdge Consulting can assist organisations in developing the appropriate documentation required for an AFSL application, as well as assisting in the overall application process.

Holders of an AFS Licence are required to ensure that they have in place appropriate policies, processes and systems to ensure that they maintain ongoing compliance with their licence obligations. StratEdge Consultingprovides assistance to organisations through a number of compliance offerings, including:

Development of suitable compliance plans specific to the AFSL obligations
Undertaking the compliance function as an outsourced service
Conducting periodic reviews of compliance activities