Accountants, Limited Australian Financial Services Licence (AFSL)

Packages to help Accountants keep their Limited AFSL

In conjunction with Licensing for Accountants, we have developed an offering that includes:
  • advice documents (FSG, SOA);
  • resource library (AFSL Compliance Manual, adviser policies and procedures);
  • ongoing training (face-to-face sessions, webinars); and
  • tailored monthly regulatory updates (T-REX).
Click here to view dates/locations/format for workshop session for the first intake

Click here to view dates/locations/format for workshop sessions for the second intake.

Click here to view dates/locations/format for workshop sessions for the third intake.

Applications need to be made as soon as possible so you can secure your spot.

Email: or phone 1300 930 328 to sign up now.

What have people said about our training workshop?

  • "The programme provides guides, tools and deals with practical issues that we have encountered; also getting feedback from other participants."  Karen Khor, Director (Warnocks Chartered Accountants)
  • "Excellent blend of instructors and participants.  Practical, ice-breaking."  George Dingli, Director (Warnocks Chartered Accountants)
  • "The programme was flexible, whilst providing information."  John Pititto, Partner (Mead Partners)

Packages to help Accountants get a Limited AFSL

Accountants with public practicing certificates can apply for the new limited Australian Financial Services Licence (AFSL) between now and 30 June 2016.  After that point in time, applying for a limited AFSL gets a lot harder.

Accountants and other advisers who obtain the limited licence will be authorised to provide financial advice on SMSFs and class of product advice about:
  • securities;
  • superannuation products;
  • simple managed investment schemes;
  • general and life insurance; and
  • basic deposit products.
We are working with The Certified Practising Accountants (CPA) and The Institute of Chartered Accountants in Australia (ICAA) to help their members transition into the new regime.  

If you are an Accountant and want to understand your options - such as should you apply for the limited licence or get your own full AFSL – we can help you. 
We can guide you in areas such as:
  • your special exemptions;
  • common practices and associated risks; 
  • licensee risk; 
  • conversations with clients; 
  • stationery and promotional material; 
  • professional indemnity insurance; 
  • self-managed super funds; and
  • audit insurance.
We’re not just lawyers!  Our compliance and training business (Compact) also acts for accountants, financial planners, stockbrokers and banks.  Compact’s licensing team includes an ex-ASIC licensing analyst, lawyers and paralegals who have helped hundreds of businesses obtain or vary their AFSLs and ACLs.  There are 3 ways that Compact can help accountants get their limited AFSL:

Download this Limited AFSL Pricing Kit

Contact us

Our team are experts in financial services and commercial law and compliance.  We have staff in Melbourne and Sydney who can meet you face-to-face, or you can contact us by phone or email.

Paul Derham  Fiona McCord 
Partner Senior Lawyer 
Melbourne  Melbourne 
T: 03 9670 8200  T: 03 9670 8200 
E:   E:

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