FS Compliance
MANAGEDÂ 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
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
