Australian Financial Services Licensing (AFSL) Forum

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  • #5162 Reply


    Dear all

    Our company is intending to acquire an AFSL covering the following financial services:

    1. Provide Financial Product Advice

    2. Deal in a Financial Product

    3. Provide a Custodial or Depository Service

    Please contact me at if any clues.

    Thanks & Regards


    #5169 Reply

    Grant Holley

    Hi Sophie,


    Thank you for your post.


    The first tip is to read ASIC’s guidance. Go to


    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)

    #5230 Reply

    Kevin Lacey

    Hi Sophie,

    I believe I will be able to help you get access to this along with utulising our already customer service centre for your clients at no additional cost along with National Marketing & Branding awareness under our umbrella business First Index.  The cost includes all ongoing business support, training, National Marketing inititatives and Call Centre access to your clients.

    I’ll shoot you through a quick email detailing a little bit further, however feel free to contact me on 0457 380 484 or

    Kind Regards

    Kevin Lacey

Viewing 3 posts - 1 through 3 (of 3 total)


Reply To: Acquiring an AFSL

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