AFS Licensees

PFS assists Australian Financial Services (AFS) licensees with varying and maintaining their AFS licences. Services include assisting AFS licensees with: 

  • applications to ASIC to vary the authorisations and/or conditions of a licence 
  • compliance requirements, monitoring and ongoing support 
  • meeting the disclosure conditions (PDS, FSG, SOA) associated with their licence 
  • maintaining the policies and procedures required under their licence (e.g. conflicts of interest, complaints handling) 
  • risk management (e.g. operational risk reviews) 
  • advice and tender management for outsourced services 
  • training programmes