Licensing and Compliance

Crest aims to establish an effective risk management framework by proactively managing and readily highlighting key issues and risks.

Apply for (or vary) an Australian Financial Services License (AFSL)

  • Provide guidance on ASIC requirements, evaluate current capabilities
  • Establish license authorisations, prepare AFSL application
  • Submit ‘proof’ documents, prepare various supporting policy and procedure documents

Compliance and regulatory documentation

  • Prepare constitutions, MDAs, SOAs, FSG
  • Prepare a compliance plan or  policy & procedures manual
  • Review all legal documents e.g. service provider agreements


  • Trustee, external compliance committee, responsible manager and/or external compliance officer representation
  • Evaluate and develop compliance and risk management systems and processes
  • Liase with regulators on compliance issues and queries


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