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Licensing

  • Obtaining an Australian Financial Services or Australian Credit License

  • Identify & obtaining correct authorisations

  • Finding appropriate Responsible Managers

  • Preparing all ASIC documentation

  • Developing & understanding compliance

  • Providing materials & templates

Insurance and Financial Markets

Obtaining the correct authorisations for your financial services business can be complex.  FinServ will guide you through the process of obtaining an Australian Financial Services License.  We do this by:

  • Establishing the type of license authorisations you require
  • Identifying with you, the most suitable Responsible Managers (identify responsible managers)
  • Preparing all ASIC documentation (referred to as the Proofs) that accompany the license application
  • Lodging your application and liaising with ASIC during the licensing process

We will guide you through the process and provide a sound compliance foundation in which to continue your financial services business.

If you or your nominated Responsible Managers require training, we offer a one day course.  This course has been designed to support you in:

  • Developing a clear understanding of compliance, in particular,  the roles and responsibilities of Compliance Officer and Responsible Manager;
  • Developing and fostering an effective working relationship between a Compliance Officer and a Responsible Manager; and
  • Understanding the impact of day-to-day compliance within a financial services organisation

Australian Consumer Credit Licensing

FinServ will help you obtain an Australian Credit License and guide you through the licensing process. We do this by:

  • Establishing the type of license authorisations you require
  • Evaluating levels of overall competence, including the nominated Responsible Persons submitted with your license application
  • Preparing all ASIC documentation (referred to as the Proofs) that accompany the license application

As part of the licensing process we will provide you with materials and templates for use in your business, post licensing.