AFSL Compliance Services tailored to Your Business

Specialising in Wholesale Fund Managers

AFSL Compliance

In the highly regulated landscape of financial services, adherence to your Australian Financial Services License (AFSL) is not just a legal requirement but a cornerstone of trust and credibility. Non-compliance not only exposes directors and responsible managers to personal financial and legal consequences, it erodes investor trust and damages reputations.

Ellevate Compliance has a thorough understanding of the AFSL compliance environment and can work with you to set up and maintain your compliance framework in a way that suits the size and complexity of your business. Having Ellevate Compliance assist you in setting up or maintaining your compliance frees up your time to concentrate on what you do best with the confidence of knowing you are compliant.

What we can help with:

Compliance Plan
Ongoing Compliance Management
Compliance Reporting
Compliance Committee

AFSL Compliance Services | Supervision and Monitoring | Pic of 2 laptops and in between a man's hand with a pencil showing another person something

Authorised Representative Supervision and Monitoring

We know it can be a bit awkward monitoring your AR’s, we can help with that …

Effective monitoring and supervision of your AR’s is essential to fulfil your regulatory obligations, manage risks and maintain the integrity of your business.

But, it can be awkward when you have a good working relationship with your AR’s and you then need to go and inspect their offices or their work.

By outsourcing the supervision and monitoring, we can take the awkwardness away.

Ellevate Solutions can tailor a package that is in line with the size and complexity of your business.

Training and Education

We understand that maintaining a high standard of knowledge and awareness is critical for AFSL license holders, particularly for Responsible Managers. Our training and education services are designed to equip RMs with the latest regulatory insights, compliance frameworks, and best practices, ensuring they can confidently guide their organisations. Beyond leadership, we extend this focus to staff at all levels, offering practical workshops that deepen their understanding of compliance responsibilities and reduce the risk of non-compliance.

Our approach is flexible and responsive to your business’s needs. We can provide training sessions both in-person and online, allowing your team to engage with material wherever they are. These workshops foster a culture of compliance and accountability, ensuring everyone from frontline staff to executive leadership is well-prepared to meet regulatory obligations.

Documentation and Reporting

Effective documentation and reporting are at the core of successful AFSL compliance. We help develop compliance plans, policies, and procedures that align with the regulatory framework and reflect your unique business context. Our approach includes robust risk management strategies designed to identify, assess, and mitigate potential threats before they become costly issues. By maintaining detailed, transparent records, you can readily demonstrate your commitment to meeting obligations and adhering to best practices, ensuring auditors and regulators recognize the strength of your compliance posture.

We also understand that cyber risk is an increasingly critical component of modern compliance. Our documentation. We can integrate cybersecurity considerations, from breach response protocols to data protection standards, ensuring your digital assets and sensitive information remain secure.