AFS Licensees

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

• applications to ASIC to obtain an AFS licence or 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