Compliance Services

A well-structured, rigorous compliance programme is a critical part of maintaining an AFSL or ACL. Reputations are impacted each and every advisory interaction with recent industry events underscoring the importance of sound governance. The costs of remediating compliance issues can be extremely high especially when brand effects and Management time is considered.
Guideway’s compliance specialists are experts in the provision of:

  • The needs of Responsible Managers,
  • Licensee risk review including mitigation and control strategies,
  • Policy and Procedures Manual (customised or off the shelf),
  • Austrac compliance including risk assessments,
  • Professional standards to ensure businesses transcend the minimum legal obligations,
  • Compliance field audit services, and
  • Training programmes ad hoc or to address audit findings.
We believe organisations achieve improved risk and governance outcomes when compliance is enshrined systemically within the business. Our collaborative and supportive approach, along with our tools including Xplan, can achieve a cost effective compliance culture protecting the very fabric of our partners’ business.