Financial services licensing

Our role is to guide you through the AFS licence process and prepare all the documentation necessary for you to obtain or vary an AFS licence.

We provide the following services:

  • Advising you on the authorisations that you will require to operate your financial services business.
  • Reviewing resumes of any proposed responsible managers.
  • Identifying any skill or experience gap among the proposed responsible managers and assisting you identify responsible managers who may be able to provide the requisite skill or experience either internally or on a consulting basis.
  • Preparing responsible manager appointment agreements.
  • Assisting you obtain professional indemnity insurance and reviewing your policy to ensure it meets ASIC’s requirements.
  • Preparing pro forma reference letters for your responsible managers.
  • Assisting you obtain criminal history checks and bankruptcy searches for your nominated responsible managers.
  • Preparing the ASIC form FS01.
  • Preparing your business description statement.
  • Assisting you prepare your financial statements, including providing you with a comprehensive guide on those requirements.
  • Preparing your table of organisational competence.
  • Preparing all the additional proofs ASIC may request.
  • Assisting you answer ASIC requisitions on the application.
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