Compliance & Representative Services

The International Securities & Derivatives Group specialise in providing compliance advice to financial service providers operating within Australia. Ongoing changes to financial services regulation policy and guidelines have meant that many smaller financial service organisations find themselves either operating unlicensed, or struggling to cope with the ongoing requirements of maintaining their own financial services licence.

We can undertake a thorough review of your financial services business, identifying & assessing your regulatory & corporate obligations.

We can provide you and your representatives with full licence coverage including RG146 education, CPD training, corporate & Individual AR appointments, on-going compliance monitoring and access to our EDR Scheme.

Our responsible officers can ensure you meet all your compliance and regulatory obligations, allowing you to advertise and operate your business with the confidence and credibility of an industry professional. Can you afford not to call us?

 

To arrange a no obligation, confidential appointment to discuss your requirements please contact us.