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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
Implementation
- 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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