Source Compliance:
Meet your compliance requirements
At Source Compliance, our goal is to make it easy for you to meet your compliance requirements, no matter your business size or industry. As your in-house compliance team, we let you focus on your core business activities while we ensure you’re always compliant.
We don’t just advise; we obtain licences or licence amendments and manage your compliance needs as if we were your own compliance department. From preparing AFS licence applications to policies and training through to assistance with your ASX, ASIC and other compliance frameworks, compliance reporting and audit obligations, we can help.
The Source Compliance team will assist you to meet your regulatory and compliance obligations with the budget certainty your business needs.
Source Compliance: For compliance reporting you can trust
Failure to comply with regulatory requirements can mean big penalties for your business. With Source Compliance, you can rest easy knowing your business is compliant across all of your compliance obligations.
Whether you need assistance with individual processes or an expert eye over your key risk areas, Source Compliance blends seamlessly with your existing processes and resources. We are here to help take the burden off your business with our skilled reporting and regulatory compliance team. We can obtain licences efficiently and with price certainty and manage your compliance needs for an agreed monthly retainer fee.
Our
Services
Source Compliance has a range of compliance services on offer to help you take care of your compliance obligations while you build your business. With a focus on financial services compliance, we have experts in funds management, wealth management and ASX listing rule compliance requirements. We also work closely with the Source Governance team on corporate governance and company secretarial matters.
AFS Licence and Credit Licensing
We have a dedicated team that assists clients of the group with AFS and credit license applications and variations. The Source Compliance licensing team works closely with Hamilton Locke to ensure legal advice is seamlessly provided at the right time throughout the licensing project, including advising on the type of licence required for the proposed financial or credit service.
We handle licence variations and applications, Responsible Manager appointments and sourcing RM services, and Key Person condition changes. Our team can prepare the licence, together with all the proofs and ancillary documentation, and liaise with ASIC throughout the entire assessment process to help you achieve the right outcome.
The Source Compliance licensing team has an industry-leading record of successfully working with clients to obtain an AFS or Credit Licence. If you already have a Licence, we can assist by providing a Licence Condition Check so you can be confident you are meeting your obligations.
Ongoing Compliance services
Our team is ready to handle all of your business-as-usual compliance needs. With decades of combined experience in the compliance and financial services industry, Source Compliance is ready to step in and manage every aspect of your compliance and governance requirements, no matter how complex.
Our services may include set up and maintenance of compliance systems and manuals, compliance training and monitoring, compliance reporting to the Board and Compliance committee, Compliance committee membership and facilitation, financial advisor reviews, and risk management review and assessments.
In the event that things don’t quite go to plan we can assist in the remediation process and act as your liaison with the regulator.
Regulatory Lodgements
Preparing reports according to ASX, ASIC, Austrac and APRA requirements can be daunting. Our retainer structure provides businesses with a cost-effective way to fulfil their reporting and audit requirements with the expert help of the Source Compliance team.
AFSL and Compliance Plan audits
We offer individualised AFSL compliance functions, tailoring our compliance expertise to suit your individual needs and AFSL authorisations. We assist wealth management and financial advisers, insurance brokers and property, equity and debt fund managers ranging from listed entities to smaller wholesale trustee AFSL holders.
Disclosure Document Verification
We offer assistance with the verification process of financial product disclosure documents.
Web-based service for easier reporting
We understand the importance of top-notch security. For ongoing compliance management and reporting, Compliance Genie is our web-based software used to manage your compliance related functions and reporting safely. Our tailored software allows clients to login through a secure portal to access all of their compliance documentation and reporting, all in one place.
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