QNA Consulting is able to assist in an array of compliance related areas with consulting and advisory services that may include:
- Consulting to implement recommendations raised and agreed upon from previous audits and reviews;
- Drafting and lodgement of Australian Securities and Investment Commission (ASIC) reporting and notifications including auditor, representatives, AFS Licensee changes, EDR Schemes and CPD reporting;
- Liaising with regulatory bodies including ASIC, Tax Practitioners Board (TPB), Financial Advisers Ethics and Standards Authority (FASEA) and the Australian Financial Complaints Authority (AFCA);
- Liaising with other AFS Licensees and professional bodies;
- Assisting with drafting and review of business documentation including disclosure documentation, Representative Agreements, cross-endorsements and Referrer Agreements;
- Assisting with the managing and co-ordinating the resolution of any received complaints and disputes;
- Updates relating to changes in new legislative or best practice requirements deemed to be of significance;
- Project management of internal compliance projects;
- Ad hoc meeting, email or telephone contact; and
- Any other compliance-related activities as requested.
QNA Consulting has access to a national network of compliance professionals who are experienced in dealing with regulatory bodies and to ensure accurate, practical and comprehensive services provided. Contact QNA Consulting to discuss any compliance-related needs or concerns that you may have in a no obligation environment.