AML Adviser for Australian reporting entities

 

Chartered Secretary and Certified AML Specialist (CAMS)

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AML Adviser

 

  • AML Independent Review
  • CAMS qualified AML Adviser
  • Registration with AUSTRAC
  • Drafting AML Program
  • AML Training
  • Risk Assessment
  • Annual Compliance Report
  • KYC managed service
  • AML Officer

AFSL

 

  • AFSL application
  • AFSL variation
  • Responsible Manager application
  • Due Diligence on Directors and RMs
  • Introduction to CARs
  • Foreign Financial Service Provider – foreign company registration, FFSP licence application, local agent

Non-Executive Roles

 

  • Chartered Secretary (FGIA)
  • Responsible Manager for AFSL
  • Non-Executive Director (NED)
  • Company Secretary
  • Compliance Committee member
  • Risk Committee member
  • Local Agent of foreign company
  • Resident Director of foreign company
  • Nominee Director
  • Independent Compliance Consultant
  • Compliance Advisor for startups and regtechs

Compliance Consultant

 

  • Product Design and Distribution Obligations (DDO)
  • Compliance framework set up for AFSL holders
  • Drafting compliance procedures
  • Compliance sign off on marketing material and disclosure documents
  • Breach assessments
  • Complaints handling
  • Risk Management framework
  • AML Compliance Review
  • Independent review of compliance procedures
  • Royal Commission recommendation implementation

Corporate Advisor

 

  • Corporate Advisor for pre-IPO companies
  • Corporate Advisor for unlisted companies
  • Draft offer documents – Prospectus, IM, Offer Document
  • Compliance Advisor for STOs, asset tokenisation, digital securities

Managed Funds

 

  • DDO framework (RG 274)
  • Register MIS with ASIC
  • Draft Compliance Plan
  • Compliance Plan monitoring
  • Compliance Committee reporting
  • Compliance sign off on PDS and marketing material
  • Operational Due Diligence (ODD)
  • Compliance System (RG 132)
  • Risk Management (RG 259)
  • GS 007 procedures
  • Lodgement ASIC forms
  • CCIV and Asia passport fund

About 

Fintech Compliance is a Chartered Secretary practice offering compliance and AML Advisory services to Australian entities regulated by ASIC and AUSTRAC. Contact us if you are an :

  • AFSL or ACL holder
  • AUSTRAC Reporting Entity – fund manager, remitter,  bullion dealer, non-bank lender, digital currency exchange, pay day lender etc.

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