Australian Financial Services Licence (AFSL) Responsible Managers

Are you a Responsible Manager (formerly called a Responsible Officer) of an Australian Financial Services Licensee (AFSL)?  We can help you meet your day-to-day responsibilities.

Some things we can do to help you include:


Legal Services

Holley Nethercote provides legal services for Responsible Managers including:
  • Corporations Act, ASIC Act and other regulatory obligations advice;
  • Preparing, amending, interpreting and advising on authorised representative agreements;
  • Developing and advising on corporate governance systems;
  • Designing or providing legal "sign off" on Financial Services Guides, Statements of Advice and Product Disclosure Statements;
  • Attendance at compliance committee meetings; and
  • Other business law services.

Licensee Reviews (Audits)

You don't know what you don't know.  Click here to read more about our licensee reviews/audits.


Responsible Manager Training

Our associated compliance business, Compact - Compliance & Training can help you as a Responsible Manager to comply with your obligations by providing:

 

Contact us now to find out how we can assist you.

Compliance