Our professional Australian Financial Services Licence (“AFSL”) application service is designed to guide you every step of the way, ensuring a smooth and efficient process. We provide you with a dedicated expert who is equipped with a deep understanding of ASIC requirements and the financial services landscape, who will tailor applications to your business model, minimising delays to efficiently have your AFSL application processed.

Here’s how we make obtaining your AFSL straightforward and stress-free:

1- Understand Your Needs

• We work closely with you to identify the services and products you want to offer.

• We simplify the process by tailoring our approach to your specific requirements.

2- Prepare Everything for You

• Our team takes the lead in preparing and coordinating all necessary documentation, including all required core proofs, checks, qualification certificates and references.

• We ensure your application is complete, before submitting to ASIC.

3- Lodge the Application

• We handle the submission of your application through ASIC’s Regulatory Portal, ensuring all supporting documents are correctly filed.

4- Manage ASIC Interaction

• We liaise directly with ASIC on your behalf, responding to any queries or requests for additional information promptly and effectively.

• Our proactive approach ensures the process moves smoothly, reducing delays.

5- Post-Approval Compliance

• Once your AFSL is granted, we guide you through implementing the necessary compliance systems to meet your ongoing obligations, making the transition seamless.

6- Why Choose Us?

• We take care of the entire process, so you don’t have to. From start to finish, we ensure your licensing journey is easy and efficient so you can focus on your business.

Obtaining your AFSL is just the beginning.

Once your licence application is submitted, as your dedicated expert we will continue to provide you support in the interim under engagement of our ongoing compliance support.

Our AFSL Compliance Portal provides a licensing, risk management and compliance solution to holders of an AFSL. We provide ongoing and flexible AFSL and regulatory support for compliance with Chapter 7 of the Corporations Act 2001 (Cth) in relation to financial services, the Australian Securities and Investment Commission Act 2001 (Cth) and ASIC regulatory guides and information sheets.

Our Portal Subscriptions are tailored to suit your needs and include:

• Our Legal Helpdesk that provides you with access to legal advice in relation to AFSL authorisations, obligations and compliance issues.

• Compliance Meetings that are chaired and minuted by our financial services lawyers.

Access to the online AFSL Compliance Portal, including:

• Legal Assessment: Undertaken on reportable register entries.

• Administrative Support: Ongoing administrative support to ensure seamless use and management of the portal, addressing any queries and assisting with updates as needed.

• Actions/Task list (your compliance calendar): Regular reminders covering legislative and regulatory obligations of a Licensee, including statutory reporting reminders.

• Policies and Procedures: Unlimited access to a suite of policies and procedures for implementation by Licensees to assist with ongoing compliance with Chapter 7 of the Corporations Act 2001 (Cth).

• Templates: Access to templates required under financial services law and commercial documents for you to use.

• Registers: Required to be maintained by Licensees to ensure your ongoing compliance.

• Risk Management Framework: For risk identification, measurement, assessment, monitoring, reporting and risk governance.

• Guides and FAQs: Relating to financial services law and guidance on giving advice.

• Newsfeed: Regular updates and guidance on significant changes to the legal and regulatory environment.

Our Portal is managed by our legal team specialising in financial services law and regulation.