A tailored regulatory framework for AFSL applicants is a must-have… not an afterthought
If you’re applying for an AFSL and aren’t tailoring governance, risk and compliance, you could be open to serious repercussions should ASIC come calling.
Like most applicants, you’re probably time and resource poor, and understandably more focused on building your business than on your specific regulatory obligations. Using a generic set of procedures without knowing how to adapt them to your business operation is a big ask.
Having a conversation about governance, risk and compliance before commencing an AFSL application process will help ensure you’re supported by a fit-for-purpose framework.
GovernanceWorx can expertly guide you through this process using our proven 5-step methodology.