Australian Financial Services Licensing (AFSL) Forum

#5169 Reply
Grant Holley
Grant Holley
Member

Hi Sophie,

 

Thank you for your post.

 

The first tip is to read ASIC’s guidance. Go to http://asic.gov.au/for-finance-professionals/afs-licensees/applying-for-and-managing-an-afs-licence/.

 

If you require further assistance after that, Compact Compliance & Training can help you apply for an AFSL.  We are familiar with the application process, as well as the requirements for a successful application, as we regularly assist our clients when they apply for (or vary) an AFSL.

 

We often first recommend that you obtain legal advice in relation to (a) whether you need an AFSL, and (b) what type of licence you require.  Our related law firm, Holley Nethercote Commercial & Financial Services Lawyers is able to assist you with legal advice if required.  (The principals of Compact are also the partners of the law firm Holley Nethercote Commercial & Financial Services Lawyers.)

 

Please feel free to contact us if you would like further information about our services.

 

Author: Grant Holley (Partner)

Co-contributor: Nicolette Tan (Law Clerk)

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