Trusted by financial advisers, fund managers, accounting firms, and national financial services businesses across Australia.
AFSL Compliance Portal
Our AFSL Compliance Portal centralises your compliance obligations in one secure, easy-to-use platform.
Compliance Calendar
Automated reminders and tracking tools help ensure you never miss a compliance obligation, deadline or key regulatory requirement.
Regulatory Registers
Maintain and manage required registers through the portal, ensuring consistent and accurate record keeping across your business.
Risk Management Framework
Includes a comprehensive risk management framework and risk matrix to assist with identifying, assessing and monitoring risks relevant to your licensed operations.
Document Management
Store and manage critical compliance documents with version control, obligation tracking and centralised document storage for all licence-related materials.
Reporting Functionality
Generate customised reports and export data directly from the portal via spreadsheet or interactive PDF formats.
Legal Services Integration
Our legal services are paired with the digital solution to support you with your key compliance obligations and provide ongoing regulatory guidance.
Policies, Procedures & Templates
Access professionally maintained compliance documentation designed to remain current throughout your subscription period.
Regulatory Updates & Newsfeed
Receive updates on relevant financial services developments, regulatory changes and emerging compliance issues.
Legal HelpDesk
Direct access to legal advice in relation to AFSL authorisations, compliance obligations and regulatory matters.
Compliance Committee Meetings
Compliance committee meetings chaired and minuted by our financial services lawyers to support governance and oversight obligations.
Practical Guidance Resources
Guides, FAQs and checklists to assist advisers and licensees in meeting their obligations and giving compliant advice.
A Scalable Solution for Businesses of All Sizes
Portal subscriptions are tailored to suit firms of all sizes and authorisation levels, including:
• Boutique advisory practices
• National financial services firms
• Retail and wholesale AFSL holders
• Managed investment scheme operators
• Non-cash payment providers
• Accounting firms operating under limited AFSL authorisations
We work with businesses ranging from small practices through to fully authorised national licensees, tailoring the portal and support services to suit your operational and compliance requirements.
