Licensing & Compliance Consultants

    Register your interest

    Please register your interest to join our FEP community. Our directory will provide a listing of Licensing & Compliance Consultants in Australia. 

    Guiding client’s way through AFS regulatory requirements

    Do you help clients with their AFS licence application process? As you may recall, among the many steps is ensuring that your client’s nominated Responsible Managers have the appropriate education and experience to meet ASIC’s requirements.

    Of course, clients have ongoing organisational competence obligations, too…

    We would like to offer our clients a complete solution for their licensing and compliance needs. This is where we invite your input.

    Building our FEP community

    Many of our clients request resources to aid them through the AFS licensing process and ongoing support. As we can only help them halfway through the journey, we need you.

    Establish the right partnership to succeed

    We see Licensing & 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  Licensing & Compliance Consultant.

    What we bring is our holistic approach to learning and education, which extends beyond mere completion of our courses. We proudly focus on how individual proficiency boosts organisational capability and fosters delightful customer experiences.

    We connect with people who can guide our clients through their initial and ongoing licensing journey, resulting in financial services outcomes that are fulfilling for organisations and their employees, and which build consumer trust.

    To that end, our aim is to set up a directory resource webpage listing Licensing & Compliance Consultants that we can refer our clients to – and we would like you to be a part of this initiative.

    We also offer tailored, in-house Responsible Manager workshops. Please contact us at enquiries@financialeducation.com.au for further information.

    How can we assist your clients?

    We are an RTO and an ASIC Authorised Assessor for the purposes of RG 146 and RG 105. Depending on an AFSL applicant’s relevant experience and qualifications, we can assist with a relevant short industry course under RG 105 Option 3.

    Our other offerings include RG146 generic and specialist knowledge, RG146 CPD and Responsible Manager CPD, and standalone topics on current issues and financial services regulation.

    We have a long history of collaborating with subject matter experts and clients to develop training that not only meets compliance requirements but also prepares industry professionals with the knowledge and practice-based skills they require.

    We work with a diverse range of financial services businesses, including major and smaller banks, fund managers and super funds, accountants, boutique advisory houses, credit ratings agencies, payment solutions providers, and emerging players such as neobanks and fintechs.

    We have also worked with clients under a ‘key person’ licence condition, and who have faced enforcement action such as remediation or enforceable undertakings.

    Relevant services & courses for AFS Licensees

    Very thorough information and highly relevant to that of a RM. Very practical and informative, I walked away with far greater knowledge of very relevant industry information. Peter McGuire, XM.com

    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 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 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.