License Governance and Compliance

The Lonsdale Governance Service is designed to form an integral and ongoing part of our clients’ management and compliance processes. Our License Governance and Compliance team actively reduces the compliance burden on Associates by providing:

  • Access to a broad range of tools and information, such as letter and advice templates, annual audit, registers and forms and policy and procedures
  • The ability for smaller practices to maintain the control, freedom and flexibility of operating their own license
  • A reduction in the risks and opportunity costs associated with maintaining an AFSL

 

The License Governance team provides access to the following services:

  • License Application
  • License Variation
  • License Governance including attendance and ongoing support of licensee's Compliance Committee or governing body and ongoing monitoring of internal processes and registers
  • Authorised Representative Compliance Audit
  • Ad hoc consultation regarding the ongoing compliance obligations of an AFSL holder and review of internal policy and procedures, SOA's, FSG's, assistance with dispute resolution, ASIC liaison etc.
  • Compliance Manual