Our team has deep experience in the financial advisory space from both a legal and advice perspective.
Due to our involvement in this sector with regulators such as ASIC, professional associations such as the FPA, licensees and advisers, we have developed the HN Hub, an online portal with self-service compliance policies and practical tools, as well as live and play-on-demand online training content. The HN Hub is a must have compliance platform for any financial advisory firm.
How we can help
- Apply for or vary your Australian Financial Services Licence
- Set up, maintain or improve your compliance policies and procedures
- Set up or review your disclosure document templates (e.g. FSGs, SOAs and ROAs)
- Draft shareholder agreements, including Corporate Authorised Representative equity agreements and AFSL-specific employment agreements
- Prepare and review AML/CTF programs and procedures
- Conduct Licensee Reviews and ASIC Audits for your AFSL
- Participate in Compliance Committees