PHC LEGAL offers compliance and legal solutions for Financial Service companies relating to their extensive ASIC and APRA regulatory obligations. Our clients are typically small to medium new or existing AFSL or RSE holders. Our services include:
- Establishing or maintaining compliance frameworks for AFSL or RSE holders;
- Monitoring and reporting on compliance obligations;
- AFSL compliance reviews;
- New licence applications and variation applications;
- Developing and updating compliance plans, policies and procedures;
- Membership and reporting to Boards, compliance and risk committees; and
- Acting as an external compliance expert for Enforceable Undertakings or other regulatory matters.