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:
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.
Our associated compliance business, Compact - Compliance & Training can help you as a Responsible Manager to comply with your obligations by providing:
Responsible Manager Training
Contact us now to find out how we can assist you.