top of page

FS Compliance

MANAGED FUNDS

  • Compliance framework for fund managers

  • Register MIS with ASIC

  • Draft Compliance Plan

  • Compliance Plan monitoring

  • Compliance Committee reporting

  • Compliance sign off on PDS and marketing material

  • Third party due diligence/ ODD

  • Independent review of compliance procedures

  • Compliance Management System implementation (RG 132)

  • Risk Management Framework (RG 259)

  • GS 007 procedures

  • Lodgement ASIC forms

  • Breach assessments

Stock Market Quotes_edited.jpg
Image by Sean Pollock

AML / KYC

  • Registration of Reporting Entity

  • Drafting AML Program

  • Independent review of AML Program

  • AML Compliance Review

  • AML Training

  • Risk Assessment

  • Annual Compliance Report

  • Drafting KYC procedures

  • SMR reporting

  • KYC managed service

GOVERNANCE, RISK AND COMPLIANCE

  • Due Diligence

  • Compliance framework set up for AFSL holders

  • Drafting compliance procedures

  • Compliance sign off on marketing material and disclosure documents

  • Breach assessments

  • Complaints handling

  • Risk Management framework

  • AML Compliance Review

  • Independent review of compliance procedures

  • Royal Commission recommendation implementation

Image by Valentín Betancur
  • Facebook
  • Instagram
  • LinkedIn

Melbourne

Suite 688, 585 Little Collins Street,

Melbourne VIC 3000

Sydney
Level 13 Suite 1A, 465 Victoria Avenue, Chatswood NSW 2067

Adelaide
Level 1, 8 Beulah Road,
Norwood SA 5067​

© 2025 Anthos Advisory Pty Ltd ABN 37 629 184 096. All rights reserved

bottom of page