Compliance Package

What is a Compliance Package and why is it necessary to have one?

We can help Australian Financial Services Licensees meet their ongoing obligations through a range of packages.  Services are provided either by Holley Nethercote (lawyers) or Compact (often the same staff, but in their capacity as trainers and compliance consultants).
 
  Basic
package includes

Comprehensive 
package
includes

Retainer package includes

T-REX

 Monthly regulatory updates tailored to your AFSL for all of your staff, helping meet ongoing training requirements. Includes a private, searchable database. More….

Provider: Compact
Included Included Included

Compliance Committees

Preparing for, chairing and providing follow up to your Compliance Committee. We sit on as an “external member” and test your compliance processes and help you show (via your committee minutes) ongoing compliance with many of your key licence obligations. More

Provider: Holley Nethercote
Excluded Included Included

Responsible Manager Training

This half day of highly interactive training provides an overview of the need for, and responsibilities of, Responsible Managers and the obligations imposed on their licensees.  ASIC requires this type of training for nominated Responsible Managers who do not have Australian regulatory experience.  More


Provider: Compact
Excluded Included Included

Ongoing Legal Advice on:


Provider: Holley Nethercote

Excluded Excluded Included**
  $77 per month, per licensee. Fixed Price for 12-month package. Retainers start at $2,000 per month.  
 

*IMPORTANT
All packages are subject to our terms and conditions, which will be provided to you before you engage our services.  With the Basic, Introductory and Comprehensive packages, if you request legal advice, we simply charge hourly rates unless we agree otherwise.  

**With the Retainer package, we adjust it every few months in consultation with you to make sure it accurately reflects the level of service you require.  We reserve the right to nominate certain services as outside the retainer (such as Licensee reviews).  However, if you don’t use the monthly retainer and accrue credits (of up to 3 months), we can use those credit amounts against the other larger costs.


Contact us now to see how we can assist you.

Compliance