At Alexis, we work with you to make compliance as simple and practical as possible, so that it becomes part of your standard operating procedure.
Australian Financial Services Licence (AFSL) holders have a variety of obligations which must be adhered to in order to ensure compliance with the law. As such, Alexis Compliance will provide you with ongoing compliance solutions. This includes but is not limited to:
- informing you of important regulatory and industry updates
- updating compliance policies and procedures
- preparation of regular compliance reporting to Compliance Committee or Board of Directors
- creation of a compliance calendar to distribute the compliance tasks to responsible persons, making it easier to meet obligations.
- responding to all ad hoc compliance queries and issues
- responding to compliance questions and issues
- designing and implementing a robust monitoring and supervision program
- review of client files
- liaising with internal compliance personnel and assisting with responses to regulator queries
- conducting an external AFS Licensee compliance review.
