Compliance

PFS offers compliance services including:

  • act as an independent compliance consultant for ASIC, APRA and AUSTRAC regulated entities
  • review of compliance management frameworks
  • applications for, and variations of, AFS and RSE licences
  • compliance advice, monitoring, reporting and ongoing support
  • compliance management system design and implementation
  • development and review of policies and procedures
  • development and review of disclosure documents
  • assistance with meeting regulatory requirements
  • assistance with managing breaches

Compliance complements our other services, including Governance, General Insurance, Risk Management and Superannuation.

 

Meet our team

Daniel Frank

BA LLB

Director

Jane Byrne

B Comm FGIA FFin

Director

Jennifer Gal

Grad Dip ASc, Grad Dip Ed

Consultant