FINANCIAL SERVICES ADVISORY

Anthos Advisory offers a range of legal and consulting services for financial services entities across all sizes ranging from:

AFS & ACL Licence application and variations
AML/CTF Programs and independent reviews
Risk and compliance frameworks, polices and procedures
Corporate governance policies and frameworks
Outsourced legal and compliance officer services
Outsourced company secretarial services
Reviews of PDS, FSGs, IMs and other disclosure documents
FATCA & CRS compliance reviews
RSE Licensing and compliance
Short term legal, risk and compliance resourcing services
APRA, ASIC, AUSTRAC engagements
Breaches and incidence assessments
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.