Licensing & Compliance Consultants directory

We see Compliance Consultants as essential to good customer outcomes. Self-licensing is on the rise, ASIC is increasing scrutiny of regulated entities, and numerous legislative changes and other reforms are prompting all manner of financial services firms to seek the assistance of a Compliance Consultant.

Please find a list of Compliance Consultants who have joined our FEP community.

Please note: This is not an endorsement and we take no responsibility for the selection. Please do your own research as to whether they are the right fits for your compliance needs.

Ariel & Associates Pty Ltd
Jeremy Danon

  • AFS Licence applications and variations
  • Compliance outsourcing
  • AML/CTF Programs
  • Corporate governance


SMART Compliance
Brett Walker

  • AFSL applications
  • Ongoing AFSL compliance
  • Client file audits


WolfThink Consulting
Stephen Kasanczuk
(0400-83-44-22 )

  • Governance, Risk & Compliance
  • Change Management
  • Strategic Planning
  • Training

Lazorne Group Pty Ltd
Larry Simon

  • Licensing & Corporate Governance
  • Regtech
  • Documentation (including AML/CTF)
  • Training, Compliance Advice & “Health Checks”

Certainty Compliance
Michelle East

  • RG105 Responsible Manager (AFSL)
  • General Compliance
  • Non cash payments/FINTECH


Compliance National
Paul Hudson

  • General Compliance
  • AML/CTF
  • AFSL Compliance Specialists


Compliance One
David Carson

  • Consumer credit regime all aspects of regulatory obligations
  • Remediation programs
  • Detailed working knowledge of dealing with ASIC
  • General AFSL obligations

Australian Independent Compliance Solutions Pty Ltd
Cheyenne Walker

  • AFSL, ACL & GI Compliance and Licensing
  • Corporate Governance Frameworks
  • Advisers & Brokers Client File Audits
  • Remediation and Investigations
  • Complaints & Breach Reporting Management

Licensee Compliance Solutions
Keith Hockley
e: keith@lcs.net.au

  • Ongoing Compliance Services to AFSLs/ACLs
  • Applications and variations
  • Licensee compliance administration & management
  • Compliance Specialists
  • WA based

Are you a Compliance Consultant? Please register your interest to join our FEP community.

Relevant services & courses for AFS Licencees

Responsible Managers

From nomination options, to gap training, to continuing professional development, we’ve got your clients’ responsible manager needs covered.

RG 146

Whether your clients need a relevant short course for an RG 105 Option 3 or are skilling up their teams, our modularised RG 146 solution means they can study just the specialist knowledge areas that are relevant to their business.

CPD

Once licensed, your clients are obligated to maintain organisational competence, including AFSL CPD ongoing training. Our CPD solutions cater for ASIC regulated and representatives.

Hot topics

Check out our standalone short courses covering general compliance, regulatory updates, professionalism & ethics, and emerging issues. Your clients can study them individually or as part of a customised CPD plan.