QNA Consulting specialises in AFS Licence and ASIC compliance services across the financial services sector including asset management, securities markets, limited licences, responsible entities, financial planning and general insurance broking.
The core service offering includes:
- Australian Financial Services (AFS) Licensing, including compilation of licence applications/variations and facilitation of the licensing process with ASIC;
- Compliance Audit and Review Services, including high level AFSL Reviews covering the compliance obligations of the Licensee, as well as focussed Representative and Client File Audits for advisory firms;
- Compliance Committee facilitation and management;
- Comprehensive and quality compliance policy framework, available as a packaged and customised Policy Library or individual policy templates for business use;
- Ongoing or specialised Consulting Services, including ASIC lodgements, notifications and communications, regulatory updates and advice, dispute resolution management and ad hoc advice
Flexibility with services and structuring to suit business needs is paramount to any arrangements with QNA Consulting. Clients can elect to have services packaged, services provided on an as needs basis at the hourly rate, or customise particular services as a standalone offering at a capped price.
A Schedule of Fees is available upon request, contact QNA Consulting.