Licensing and Compliance Consultants Directory2022-07-11T09:09:50+10:00

LICENSING & COMPLIANCE CONSULTANTS DIRECTORY

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.

Jeremy Danon

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

Brett Walker

  • AFSL applications
  • Ongoing AFSL compliance
  • Client file audits

Stephen Kasanczuk
(0400-83-44-22 )

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

Monica Mackinnon

  • Comprehensive AFSL review
  • AFSLs initial and ongoing obligations
  • AML/CTF requirements
  • Tailored Compliance Contracting

Larry Simon

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

Michelle East

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

Jenny Mulders

  • MDA Advice and Operator Compliance
  • Risk Management Programs
  • AFSL, AML/CTF and General Compliance
  • Insurance Broking
  • Quality Assurance

Paul Hudson

  • General Compliance
  • AML/CTF
  • AFSL Compliance Specialists

David Carson

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

Sean Graham

  • Australian Financial Service Licence
  • RG206 Australian Credit Licence
  • General Compliance
  • AML/CTF

Cheyenne Walker

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

Keith Hockley
e: keith@lcs.net.au

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

Jacqui Stewart
e: support@grcessentials.com.au

  • AFSL & ACL applications & variations
  • Licensee & whole business reviews
  • Representative & client file reviews
  • AML/CTF reviews
  • Compliance committee, investment committee & training committee meeting management
  • Full Compliance Programs
  • Policies & Procedures
  • GRCPlus AFSL Management Platform

Do you need an AFS licence?

If you want to run a financial services business, you generally need to be authorised under an AFS licence. Before you apply, check out ASIC’s AFS Licensing Kit.

AFS licensing kit

Regulatory News

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  • 10 August 2022
  • 10 August 2022

    ASIC’s surveillance of internal dispute resolution in superannuation identifies concerns

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  • 10 August 2022

    APRA releases final reporting standards on updated capital framework for banks

    The Australian Prudential Regulation Authority (APRA) has released final reporting...
  • 4 August 2022

    APRA publishes findings of latest climate risk self-assessment survey

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  • 28 July 2022
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    Adelaide’s SkyCity casino faces independent review as casino industry probe widens

    South Australian authorities have launched an independent review of Adelaide’s...
  • 20 June 2022

    Squirrel Super to pay $55,000 penalty for false and misleading marketing

    The Federal Court has ordered Squirrel Superannuation Services Pty Ltd...
  • 17 June 2022
  • 14 June 2022

    Behavioural science and regulation: ASIC article in the Behavioural Economics Guide 2022

    In a recent article published in the international Behavioural Economics...
  • 2 June 2022

    ASIC releases updated ePayments Code

    ASIC has published the updated ePayments Code (the Code) to provide...
  • 1 June 2022

    ASIC highlights focus areas for 30 June 2022 reporting

    ASIC is urging directors, preparers of annual and half-year reports...
  • 1 June 2022

    APRA and ASIC release new FAQs on the implementation of the retirement income covenant

    The Australian Prudential Regulation Authority (APRA) and the Australian Securities...
  • 31 May 2022

    APRA publishes Chair Wayne Byres’ speech to Banking Summit

    A fit-for-the-future banking sector. “The Australian financial system is strong...
  • 13 May 2022

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    We attended Finsia’s recent ‘The Regulators’ event, during which senior...
  • 7 April 2022

    Westpac to pay $1.5 million penalty for mis-selling consumer credit insurance

    The Federal Court has ordered Westpac Banking Corporation pay a...
  • 7 April 2022

    APRA publishes Chair Wayne Byres’ speech on regulating new financial technologies

    In “Regulating the technological revolution in finance”, Mr Byres delivered...
  • 6 April 2022
  • 31 March 2022
  • 28 March 2022

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