Strategic Outsource Solutions can address and cover all your compliance concerns in relation to your AFSL and ACL obligations.
- Remediation Services: We offer a range of advice monitoring and supervision services to include, checklists and remediation calculators, training of relevant team members, provision of contract staff , as well as complete Project Management options.
- SoA Quality Review (SQR): A prevetting and post vetting service for your Statements of Advice. SOS can assist by checking a sample of your advice documents to see that they meet all the necessary compliance, brand and professional quality requirements. The SQR’s are not a compliance audit but a precursor to identifying any areas that may need further attention.
- Compliance Audits- AFSL and ACL: These audits can be undertaken by our experienced contractors. SOS will follow the Licensee audit guidelines and checklist to ensure the audits meet the Licensee standards. A report with comments and recommendations will be given at the end of the audit process.
- Licensee Policies and Procedures: A review of your Licensee standards to ensure they’re current, relevant and clear to understand. Multiple choice questions can be written for each policy so that Authorised Representatives can evidence that they understand the Licensee requirements.
- AFSL and ACL Audit: A thorough audit of your License to ensure your legal obligations are being met
- Responsible Manager: If you require a second or third Responsible Manager to ensure there is 3rd party independence overseeing the Licensee dealings, SOS has experienced contractors who can assist.
As per ASIC regulations, an AFSL and ACL have a general obligation to do all things necessary in order to provide your financial services efficiently, honestly and fairly.
Our range of services provide support for your compliance with the conditions of your license as well as the Corporations Act 2001.