FINANCIAL SERVICES ADVISORY
Anthos Advisory offers a range of legal and consulting services for financial services entities across all sizes ranging from:
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AFS & ACL Licence application and variations
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AML/CTF Programs and independent reviews
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Risk and compliance frameworks, polices and procedures
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Corporate governance policies and frameworks
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Outsourced legal and compliance officer services
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Outsourced company secretarial services
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Reviews of PDS, FSGs, IMs and other disclosure documents
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FATCA & CRS compliance reviews
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RSE Licensing and compliance
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Short term legal, risk and compliance resourcing services
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APRA, ASIC, AUSTRAC engagements
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Breaches and incidence assessments
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Advisory on structure and establishment of financial products and managed investment schemes (wholesale and retail).
COLLABORATIVE LEGAL SERVICES
Our lawyers can provide onsite or online legal, governance, risk and compliance services to support your legal, risk and compliance teams.
We are happy to work collaboratively with you on any project or overflow work to assist your team.
COMMERCIAL RISK & COMPLIANCE
We are experts at designing and embedding risk and compliance frameworks.
We have successfully designed and implemented risk and compliance frameworks for financial services entities from scratch.
FINANCIAL SERVICES CONSULTANTS
With our expertise in financial services, we are able to step in and offer external general counsel or compliance officer services for any legal or regulatory matters that you may need short term help and guidance on.
ASIC, APRA, AUSTRAC & ASX COMPLIANCE
We can prepare or assist with various licences, such as AFS & RSE licences. We have decades of experience dealing with ASIC, APRA, AUSTRAC and the ASX.
We can help you review and implement policies and procedures required to meet ASIC, APRA, AUSTRAC and ASX obligations.
REGULATORY CHANGE MANAGEMENT
We have decades of experience managing and implementing regulatory changes in financial services
for superannuation, funds management and financial advice. We have deep expertise in managing organisation wide regulatory change projects from start to end.
AML/CTF & FINANCIAL CRIME COMPLIANCE
We offer assistance with AML/CTF program reviews and enhancements. We can provide independent review of your AML/CTF program that is time efficient and cost effective.
We are passionate about this area of law and are always happy to assist you at a high level or for any specific queries that you may have.
