Compliance Support Services
Compliance Support Services – Licensee
My Dealer Services provides ongoing compliance support services packages to licensees. We aim to work with the licensee in a facilitative manner and empower the practice to manage, document and monitor its ongoing compliance responsibility.
- Annual licensee reviews together with a Compliance Committee management meeting following the review. Includes scheduling and facilitating, recording and documenting
- Regular updates on ASIC/Corporations Law issues (tailored regulatory update newsletter service as provided by Compact – Compliance and Corporate Training
- Online compliance manual
- Phone and email support
- Fact Finder/SOA and documentation templates
- FoFA transition
- Provision of templates for notification to fund managers of changes in client servicing rights
- Breach/Complaint/Alternative Remuneration/Conflicts of Interest register template
Compliance Support Services – Representatives
Australian Financial Service Licensees are responsible for the advice provided by their representatives. To help you meet the requirements set out in the Corporation Act My Dealer Services conducts annual reviews on the licensees representatives. These reviews are focused on the documentation and delivery of advice.
In addition, product research, technical support as well as ongoing training via Kaplan are offered to help you meet your compliance requirements. AML/CTF obligations are also covered in these reviews.
Compliance Support Services – Consulting
Stand alone projects and/or assignments as specified by the licensee. These include: variations of current licences, help in preparation for ASIC surveillance visits, FOFA transition projects and any other areas of the constantly changing compliance scene.
