QNA Consulting offers comprehensive and reliable management of your Compliance Committee to assist with the supervision and monitoring obligations of the AFS Licence. This service may be customised to business needs, however commonly will involve:
- Scheduling the Compliance Committee meeting with relevant management and officers of the AFS Licensee;
- Prepare and distribute the meeting Agenda;
- Facilitate the meeting;
- Provide consulting within the context of the meeting and deliverables for/from the meeting as agreed;
- Present materials at the meeting as appropriate for the AFS Licensee and given meeting;
- Record and document minutes, decisions and action items from the meeting; and
- Document or modify relevant compliance documents discussed during the meeting.
Compliance Committees are a critical oversight process which incorporates not only supervision and monitoring obligations, but also address risk management and good governance. This is a mandatory process for many AFS Licensees. Contact QNA Consulting to discuss this service further.