01

Advice File Reviews

File reviews and pre-vetting of advice files should be a key part of your overall risk mitigation and monitoring and supervision program. It can ensure that your clients receive accurate information and quality advice from your representatives.

02

AFSL Audits

RMGC’s Licensee audits are consultative and educational. Our service incorporates testing of the application of your control measures, policies and procedures against your Licensee responsibilities.

03

AFSL Consulting

RMGC Consulting provides a range of consulting services that deliver workable and effective solutions to the many risk and compliance challenges in your business including: AFSL Licensee audits – identifying compliance and operational risks, testing the application of control measures and proposing strategies to protect your business

04

Complaints

While many complaints are easily resolved, some can be very challenging and time consuming – taking you (and your staff) out of the business for extended periods. An independent dispute resolution service can help when feelings run high and get in the way of finding a solution.

05

Compliance Projects

We provide services that can be custom designed to a specific compliance concern or need you have.

Responding to communications from ASIC such as Section 33 Notices
Breach reporting to ASIC
Establishing and running client remediation programs
Due diligence for recruitment of representatives

If you have any questions, get in touch

RMGC Consulting provides a range of consulting services that deliver workable and effective solutions to the many compliance challenges in your business.

Services

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