Insurance and Financial MarketsFinServ provides a comprehensive suite of licensing
and compliance services to the insurance industry. We can assist in:
- Obtaining a new license
- License Variations
- Materials and Templates
- Competency assessment of nominated persons and
Responsible Managers
- Police and bankruptcy checks
FinServ will guide you through the process and
provide a sound compliance foundation in which to continue your financial
services business.
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Australian Consumer Credit Licensing
FinServ will help you obtain and credit license and help you through the licensing
process:
Obtaining a License - We do this
by:
- Evaluating levels of overall competence
- Establishing the most suitable license
authorisations
- Preparing the license application and proofs
as well as working through the application with ASIC on your behalf
Developing Materials and Templates
for
use post licensing. These are specifically tailor to suite your business
Police and Bankruptcy checks for
nominated persons
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Compliance and
Monitoring Services
FinServ offers compliance monitoring services that are tailored to the
licensees size and complexity. Services offered include:
Compliance Outsourcing functions
Organisational
Compliance Reviews, relating to:
- Adherence to regulatory regime requirements
- Benchmarking - adherence to
required performance standard
Authorised
Representative and Distributor networks
can be challenging to maintain. We can work
with the licensee to provide services that encompass:
- Monitoring and supervision
- Development and
implementation of policies and procedures
Compliance Training
Creating Polices
and Procedures that relate directly to the size and complexity of the organisation
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