Since 2001 we have helped financial services professionals obtain, vary and surrender licences

Getting a new licence - AFSL & ACL

The licence application process can be overwhelming. A quick glance at ASIC’s licensing kits will show you ASIC’s expectations and the documentation required from the moment you apply for a licence. You will need to deal with

  • Organisational Competence

  • Compliance Arrangements

  • Managing Conflicts of Interest

  • Representatives and Human Resources

  • Financial Requirements

  • Technological Resources

  • Dispute Resolution

  • Risk Management

  • Research

  • Privacy

  • Anti-Money Laundering / Counter Terrorism Financing

    and more

Our experience is invaluable. We can draft all proofs required for your licence application. Upon approval from you, we will lodge the application on your behalf and deal with all queries that ASIC may pose before deciding on your licence application

Licence applications are all about detail. ASIC rejects many applications because details within those application are incorrect, poorly expressed and inadequately executed by inexperienced applicants. We work closely with you, and one member of our team will be your champion, ensuring your licence application is skilfully and actively managed throughout the licensing process.

Licence Variations

Business changes, and your licence authorisations or responsible managers may change, so you may also need to vary your licence. We can help you with this, providing our skills and experience to efficiently achieve your licence variation.

Surrenders

Life can change, and if it does, we can help you to surrender your licence, efficiently and compliantly.